Senior Compliance Officer

2 weeks ago

Melbourne, Victoria, Australia La Trobe Financial Full time $90,000 - $120,000 per year

About La Trobe Financial

Join Australia's leading Alternative Asset Manager, a trusted name since 1952. Our exceptional culture and unwavering commitment to our customers have propelled La Trobe Financial to manage over $20 billion in assets and employ more than 550 talented professionals across Melbourne and Sydney.

The Opportunity

We are looking for an experienced Senior Compliance Officer to join our Line 2 team in our Risk & Governance Division. In this pivotal role, you'll provide expert advice, guidance, and oversight to help La Trobe Financial enhance its compliance practices.

You'll collaborate with our Compliance, Risk, Assurance, and Legal teams to manage key compliance activities and contribute to the enhancement of our compliance management framework.

Key Responsibilities

  • Support the ongoing review and strengthening of the Compliance Management Framework, including Compliance Plans, Policies and Processes, Regulatory Change Impact Assessments and compliance obligations management.

  • Provide compliance advice to the business that is practical and commercially adept.

  • Manage the investigation, and preparation of breach assessments and related notifications to Regulators.

  • Manage, and respond to, third party requests and regulatory notices for information under legislative instruments or powers.

  • Assist with the preparation and lodging of statutory and regulatory reports or filings.

  • Assist with the preparation of compliance related management reporting to governance committees/board.

  • Assist with and maintain governance processes for Authorised Representatives, marketing material and training activities.

  • Collaborate with Compliance, Risk and Legal team members and foster a positive and risk-aware compliance culture.

  • Provide mentorship to junior team members.

About You

  • At least 5 years of compliance experience in the financial services sector, preferably within the Line 2 function.

  • Tertiary qualifications in Law, Commerce, or Risk Management an advantage.

  • Strong understanding of the financial services and asset management regulatory landscape (e.g., AFSL/ACL, Corporations Law, Responsible Lending, AML/CTF, Privacy).

  • Excellent written and verbal communication, analytical and problem-solving skills, and the ability to influence and negotiate outcomes effectively.

  • Ability to establish credibility and foster a positive compliance culture.

  • Experience mentoring and training more junior team members.

Employee Benefits

  • Flexible working arrangements

  • Paid birthday leave

  • Paid volunteer days

  • Option to purchase additional leave

  • Employee Assistance Program (EAP)

  • Training opportunities

  • Social events

  • Retail discounts through Reward Gateway

Please note that only shortlisted candidates will be contacted.

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