Compliance Specialist

6 days ago

Sydney, New South Wales, Australia Insignia Financial Ltd Full time $80,000 - $120,000 per year

Company description:

Insignia Financial Limited is an Australian financial services company which offers a range of products and services including financial advice, superannuation, investment management and trustee services

Job description:

Why join us?

We're committed to building a stronger, more client-focused organisation. As we navigate a dynamic regulatory landscape, this role offers the opportunity to make a meaningful impact to our clients and stakeholders, by strengthening how we manage incidents. You'll work alongside senior leaders and stakeholders, help shape frameworks and develop insights to help drive better outcomes.

About the Role

If you are a compliance specialist in Incident Management, join us in this newly created role as a Regulatory Relations Senior Specialist.

In this role you will manage IFL's Incidents and Breaches Framework, ensuring timely and effective identification, assessment, escalation, resolution, and reporting of regulatory breaches. You'll work closely with stakeholders across the organisation and contribute directly to shaping the framework and developing insights to drive better outcomes.

What you'll do

  • Lead the Incidents and Breaches Framework to ensure timely and accurate identification, assessment, escalation, resolution, and reporting
  • Collaborate across compliance and risk teams to align breach management with broader compliance frameworks and regulatory engagement
  • Monitor, analyse and report on breach and incident activity, identifying trends, gaps, and opportunities for improvement
  • Provide secretariat support to the Breach Reporting Committee, including agendas, papers, meeting coordination, and action tracking
  • Maintain accurate and complete records, including breach registers and committee outcomes
  • Contribute to uplift of breach management processes by developing tools, templates, and training materials
  • Provide guidance to stakeholders on breach assessments, regulatory obligations, risk implications, and remediation strategies
  • Support breach lodgement with Regulators, ensuring submissions are complete, accurate, and aligned with expectations

What you'll bring

  • Tertiary qualifications in finance, commerce, law, or a related discipline
  • 5+ years experience in compliance or risk roles within complex financial services organisations
  • Strong knowledge of ASIC, APRA, and the Australian financial services regulatory landscape
  • Understanding of regulatory compliance requirements in wealth management, with focus on Superannuation, Investments, and Advice
  • Excellent writing skills and high attention to detail
  • Strong interpersonal and communication skills, with the ability to build trusted stakeholder relationships
  • Demonstrated commercial judgement and problem-solving capability

To Apply

Read more about why you should join our team

Applicants will be required to provide evidence of their eligibility to work in Australia, and at a minimum be required to undertake police and basic credit checks as a condition of employment.

Please note that applications from agencies will not be considered at this time.

We acknowledge and celebrate the richness that individual differences bring to our team. If you need assistance or an adjustment during the application process, please reach out and let us know.

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