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Senior Compliance Officer

Job Title: Senior Compliance Officer
Contract Type: Permanent
Location: Brisbane
Reference: 3306835co
Contact Name: Sarah Kennedy
Contact Email:
Job Published: August 02, 2021 11:48

Job Description

Our client is an innovative investment manager, offering global investment solutions. As a result of their impressive growth and diversification of products, they have a newly created opportunity for a talented Compliance Officer to join their high-performing team. Brisbane City location.
Their business and client base is experiencing considerable growth and an opportunity exists for a suitably qualified individual to help us deliver the high standard of client service for which we they have become known.

Reporting to the Head of Compliance and as a member of the Compliance team, you will be responsible for assisting the Head of Compliance & Governance in maintaining and enhancing the Compliance and Risk Management Systems.  

Key responsibilities will also be:
  • Maintenance of Compliance and Risk Frameworks to ensure ongoing compliance with legislative and regulatory standards
  • Maintenance of Policies, Procedures, Programs and Registers and the annual review cycle
  • Compliance review of advertising and marketing materials
  • Assist the Compliance Team with ongoing compliance monitoring requirements
  • Investigation of Incidents / Breaches and drafting breach reports
  • Preparation of Compliance Board reporting
  • Maintenance of Compliance Registers
  • Development and delivery of internal compliance training presentations
  • Assist with various Compliance Projects that arise from time to time
  • Provide input and feedback for continual improvement of compliance processes
  • Liaising with Auditors and providing requested documentation
The successfully appointed professional will have many years of experience within compliance and ideally have worked in financial services. You will have the demonstrated confidence to interact with senior stakeholders and with clients in a professional manner, and the ability to communicate effectively delivering to tight deadlines. 
They are a close-knit growing team with a collegiate culture and welcome applications from candidates with related university qualifications, compliance experience and a strong work ethic, self-motivation and willingness to grow with the business.

Please contact Sarah Kennedy on 07 3854 3801 / for more information