Senior Compliance Specialist

7 days ago

Sydney, New South Wales, Australia beBeeCompliance Full time $120,000 - $140,000

Are you a highly skilled professional looking for a challenging role that combines regulatory expertise with product development?

We are seeking a Product Compliance & Risk Manager to join our team, playing a key role in expanding our investment product in Australia.

This is a unique opportunity to make a significant impact on how people hold money directly. You will ensure Wise complies with all regulatory requirements for offering investment products to customers in Australia.

As a Product Compliance & Risk Manager, you will be responsible for:

Launch and Improve the Investment Product

  • Work with product teams throughout the product lifecycle from design and user testing to launch and post-launch monitoring.
  • Serve as the primary contact for any regulatory questions or implications regarding the Wise investment product in Australia.
  • Conduct thorough regulatory analyses of new products and services ensuring appropriate controls are in place before launch.
  • Enable product teams to adopt a risk-based approach in developing products, processes, and controls.
  • Identify opportunities to enhance our product proposition and competitiveness by thoroughly analysing relevant regulations and challenging existing interpretations and market practices.

Managing and Mitigating Regulatory Risks

  • Identify regulatory risks and ensure effective mitigation for Wise's investment product in Australia.
  • Conduct pre-launch and ongoing regulatory risk assessments providing valuable advice to product managers on current and upcoming regulations gaps and risks.
  • Work with Compliance and Product teams to ensure remediation plans are agreed upon and executed promptly.
  • Collaborate with colleagues in the second-line compliance oversight team to keep product teams informed of new and upcoming regulations.
  • In collaboration with second line Compliance and Risk teams identify and align on main regulatory issues and risks in Australia present this in a clear and understandable way to the wider teams work with them on defining solutions and how this should be executed.

About You

  • You have deep working knowledge of Australian regulations applicable to investment firms offering retail investments.
  • Minimum 5 years experience working in a legal or compliance role within the retail investment industry or wider investment industry.
  • Problem-solving attitude using regulation together with data to drive business decisions.
  • Natural owner who wants to go beyond an advisory role taking initiative and driving projects end-to-end.
  • Ability to effectively communicate with product managers and engineers providing practical actionable and valuable recommendations.
  • Familiar with evolving regulatory expectations of ASIC with regards to retail investment products.
  • Experience (or keen interest) in working in a fast-growing technology-driven environment.

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