Head of Compliance

2 weeks ago

Sydney, Australia OCG Talent Full time

Look after retail and wholesale advisory business.
- Permanent, Sydney or Melbourne based role.
- Be part of a market-leading wealth management business.

Our client is a boutique wealth management organisation providing advanced research, innovation, personalised service, and tailored solutions that are focused on creating and preserving wealth to retail, wholesale, ultra-high net worth clients and Family Offices.

We are looking for a Head of Compliance to look after their Melbourne and Sydney based team. An experienced compliance professional with a highly developed and hands on understanding of regulatory requirements of both retail and wholesale advisory business. A professional with extensive experience in operational risk and compliance, who can be both a strategic and operational leader.

This role requires a hands-on approach, a dynamic individual ready to engage and provide guidance across Advisory teams, Senior management and the Board of Directors. We are looking to speak with Senior Compliance Professionals looking to work with a highly respected, boutique, market-leading advisory business.

To be successful, we are looking for:

- Very strong communication skills and a highly collaborative style.
- A strong understanding of regulatory obligations and requirements.
- A growth mindset.
- 10+ years’ experience in Wealth Management compliance.
- A background in retail and wholesale wealth advisory.
- Experience working closely with regulatory organisations e.g. ASIC, AUSTRAC, AFCA.
- An energetic professional who is happy to get involved and help the team get things done.

To ensure success, we are seeking detail-oriented professionals who have a passion for wealth management and compliance. Professionals who can work both autonomously and collaboratively in a team environment.

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