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Financial Services Compliance Specialist
2 weeks ago
**Job Overview:**
">You will be joining a dynamic team as a Compliance Manager with a strong focus on development and progression. The role involves ensuring compliance with regulations and internal policies, overseeing audits and licensing, reviewing products and third parties for compliance risks, managing incidents, and providing compliance training.
">About the Job:
">This is a permanent position focused on Compliance. The workplace is hybrid, and the experience level is mid-management. The industry is Financial Services.
">Responsibilities:
">- ">
- Ensure compliance with regulations and internal policies.">
- Oversee audits and regulatory reporting.">
- Review products and third parties for compliance risks.">
- Manage incidents and provide compliance training.">
- Stay updated on regulatory developments.">
Required Skills and Qualifications:
">The ideal candidate has 3–5 years of compliance experience in asset or wealth management, with strong knowledge of trading systems, custody operations, KYC/AML, and investment advisory regulations. A proven ability to assess and mitigate risk in dynamic, tech-driven environments is essential. Excellent verbal and written communication skills are also required, with the ability to explain complex regulatory matters clearly. A Bachelor's degree in Law, Finance, Business, or a related field is necessary, with JD, CAMS, or other relevant certifications being a plus.
">Benefits:
">Aboriginal and Torres Strait Islander Peoples are encouraged to apply.
">How to Apply:
">To discuss this opportunity further, please contact Davy Culliton at 02 8289 3172.
">Keywords:
">Compliance, Risk Management, Financial Services, Mid-Management, Hybrid Workplace.
