Compliance Officer

7 days ago

Sydney, New South Wales, Australia Ord Minnett Full time $60,000 - $80,000 per year

About the Role

Reporting into the Head of Compliance and working as part of a small cohesive team based in Melbourne and Sydney, the Compliance Officer will provide general support to the Compliance Department and assist with meeting the regulatory needs of Ord Minnett. This opportunity would suit someone with an equity/operations background who is looking to develop or diversify their skills set, or a professional pathway through their degree. On-the-job training will be provided in all facets of regulatory requirements and over the course of your employment you will become familiar with the relevant legislative requirements.

Primary Responsibilities

  • Investigation of compliance issues and assisting in conducting surveillance reviews of both the front and back office activities
  • Responding to internal and external queries
  • Day to day compliance activity management
  • Assisting in the compilation of responses to regulators
  • Complaints handling
  • AML matters and AUSTRAC reporting
  • Maintenance of registers
  • Maintaining training registers including FASEA training requirements for Advisers

About You

Ideally, you'll have a solid grasp of—or a strong eagerness to learn—the fundamentals of stockbroking, along with experience or knowledge in financial services compliance. This role suits a lateral thinker with a problem-solving mindset and strong interpersonal skills to foster meaningful relationships with a range of stakeholders. You are likely nearing completion or already hold a degree in Law, Accounting, Finance, Commerce, or a related field. While a legal background is highly regarded, it is not essential.

About Us

Ord Minnett is a leading wealth management group providing advice and tailored investment solutions including full-service stockbroking, financial planning, funds management and portfolio services. With corporate origins dating back to 1872, Ord Minnett is a highly respected name in the Australian investment landscape.

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