Senior Compliance Manager
Core
Lead day-to-day compliance operations for a high-growth Australian Wealth FinTech, serving as the primary operational anchor and escalation point for trading, operations, and private wealth.
Role type
Senior Compliance Manager (Team Lead)
Builds
Operational compliance framework and processes for retail financial advice, AML/CTF, and market integrity.
Domain
Australian Financial Services / Wealth Management
Required skills
AML/CTF compliance, ASIC Market Integrity Rules, ASX/Cboe Operating Rules, retail financial advice regulations, breach investigation, operational risk management, team leadership, regulatory reporting
Preferred skills
Trading or wealth management background, stakeholder engagement, rapid decision-making in fast-paced environments
Technologies
None stated
Responsibilities
Lead, support, and mentor a team of three specialists; act as first point of contact for daily compliance queries; maintain oversight of compliance processes; triage and manage breach assessments and operational risk incidents; prepare committee papers and board reports.
Seniority
Senior, hands-on IC with team leadership
