Senior Risk & Compliance Officer
Core
Client-facing compliance role providing practical support for retail and wholesale fund structures, acting as first line of defence for fund establishment, onboarding, and ongoing servicing.
Role type
Senior Risk & Compliance Officer (Funds & Trustee Services)
Builds
Compliance plans, regulatory filings, and governance frameworks for domestic and international equity, private equity, property, and investment funds.
Domain
Financial Services / Funds Management / Regulatory Compliance
Required skills
Regulatory monitoring, policy development, training delivery, incident management, due diligence, audit management, stakeholder engagement
Preferred skills
Change management, complex environment navigation, multi-tasking, quality focus
Technologies
ASIC, AUSTRAC, ATO, Corporations Act, Design and Distribution Obligation (DDO)
Responsibilities
Monitor regulatory environment and assess impact on clients; Provide advice on regulatory compliance; Develop and deliver compliance training; Respond to regulatory queries; Oversee response to client incidents and complaints; Maintain compliance plans and registers for retail funds; Review Target Market Determination documents; Sign-off on due diligence for authorised representatives; Monitor outsourced service providers.
Seniority
Senior, hands-on IC
