Associate, Compliance - Regulatory
Core
Managing and administering the firm's compliance programme covering marketing material review, compliance monitoring, AML/KYC checks, incident management, licensing, governance, audit coordination, training, and client due diligence.
Role type
Associate compliance officer (regulatory)
Builds
Compliance programme, regulatory reporting, training programs, audit support
Domain
Financial services / Fixed income / Asset management
Required skills
Regulatory compliance knowledge, AML/KYC procedures, marketing material review, incident and breach management, license application management, audit coordination, training administration, client due diligence
Preferred skills
Experience in legal, compliance, or audit within financial services
Technologies
ASIC, AUSTRAC, Regulatory Guide 146
Responsibilities
Review marketing materials and product-related documents; Conduct personal trading monitoring, e-surveillance, and social media surveillance; Perform on-boarding and ongoing AML checks; Manage incidents, breaches, complaints, and conflict of interest; Handle license applications and regulatory reporting; Prepare compliance committee and board packs; Support internal and external audits; Administer compliance training programs; Support client operational due diligence; Oversee ETF continuous disclosure obligations.
Seniority
Associate, individual contributor