Senior Legal and Compliance Officer

4 days ago

Sydney, New South Wales, Australia AltX Group Full time
About the Role

We are seeking a highly skilled and experienced Senior Legal and Compliance Officer to join our team at AltX Group. As a key member of our management team, you will be responsible for overseeing the legal and compliance functions of our lending business, ensuring that our operations adhere to all relevant legal and regulatory requirements.

Key Responsibilities

Legal

  • Provide expert advice on a wide range of legal issues related to the lending business, including contract law, consumer credit law, privacy law, and financial services regulation.
  • Draft, review, and negotiate contracts, agreements, and other legal documents to ensure the company's interests are protected.
  • Manage and resolve legal disputes, liaising with external counsel as necessary.
  • Stay up-to-date with changes in legislation and regulatory requirements affecting the business, providing timely advice and updates to senior management.
  • Support the development and implementation of company policies and procedures to ensure legal compliance and risk management.
  • Advise on corporate governance matters, including board resolutions, corporate filings, and compliance with the Corporations Act.

Compliance

  • Develop, implement, and maintain compliance programs to ensure adherence to AFSL and ACL requirements.
  • Monitor and report on compliance with relevant laws, regulations, and internal policies.
  • Conduct regular compliance audits and risk assessments, identifying and mitigating potential compliance risks.
  • Liaise with regulatory bodies such as ASIC, APRA, and AUSTRAC, ensuring timely and accurate reporting and communication.
  • Manage the company's compliance training programs, ensuring all staff are aware of and understand their compliance obligations.
  • Oversee the handling of customer complaints and breaches of compliance, ensuring appropriate investigation and resolution.
  • Maintain compliance records and documentation, ensuring they are accurate, up-to-date, and easily accessible.
Requirements

To be successful in this role, you will need:

  • A Bachelor's degree in law (LLB) with admission as a solicitor or barrister in Australia.
  • Minimum of 5 years' experience in a legal and/or compliance role within the financial services industry, preferably in lending.
  • In-depth knowledge of AFSL and ACL regulatory requirements.
  • Experience working with regulatory bodies such as ASIC, APRA, and AUSTRAC.
  • Proven experience in managing compliance programs and conducting compliance audits.
  • Strong understanding of Australian financial services and consumer credit laws.
  • Excellent analytical, problem-solving, and decision-making skills.
  • Strong interpersonal and communication skills, with the ability to build relationships with stakeholders at all levels.
  • High level of integrity, with a commitment to maintaining the highest standards of compliance and ethical conduct.
  • Strong project management skills, with the ability to manage multiple tasks and deadlines.
  • Ability to work independently and as part of a team in a fast-paced, dynamic environment.
  • Proficiency in using compliance management software and tools.

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