Compliance Manager - Investments/Superannuation

Job Title: Compliance Manager - Investments/Superannuation
Contract Type: Permanent
Location: Sydney, New South Wales
Salary: Negotiable
Reference: 187835_1539306477
Contact Name: Anson Lam
Contact Email:
Job Published: October 12, 2018 12:07

Job Description

The Company:

Our client is a well-established Investment firm experiencing growth within the market. The fund is seeking an experienced compliance consultant to make a difference and promote the compliance culture.

This role will be ideal for an experienced compliance consultant with extensive experience in superannuation / investments risk and compliance. The ideal candidate will be innovative and looking to build a leading compliance function whilst stimulated with the idea of working within a growing firm with a large client base.

The Role:

  • Manage compliance obligations including AFSL, AML/CTF reviews and on boarding
  • Determine AML and Sanction controls
  • Review marketing material to determine compliance with internal policy
  • Assist in review and maintenance of compliance framework ensuring compliance with laws and regulation
  • Report on incidents and breaches and provide recommendations to relevant stakeholders
  • Identify any opportunities or gaps in the business and ensure continuous improvement of operations and controls system
  • Promoting continuous growth by forecasting and capitalising on any emerging opportunities
  • Assess impact of new regulatory requirements
  • Input on innovative ideas and insights on any proposed changes relating to the compliance function

You must have:

  • Must have 3+ years experience in investment and risk or regulatory exposure
  • Investment/Legal/Compliance Background
  • Strong understanding of regulatory risk, compliance, change management and process design
  • Excellent stakeholder management
  • Problem solving and genuine interest in achieving business needs
  • AFSL exposure is desired


  • Rewarding and above market remuneration
  • Be a part of the Employee Share Scheme
  • Flexible Working Environment

For a confidential discussion please call Anson Lam on 02 8247 5712, email or click on the apply button below.

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