Wealth Management

Our client is a leading institutional and retail stockbroker seeking to hire a new Compliance Manager to run their compliance function in Sydney.


  • Develop and drive the compliance strategy across the business in a consistent manner and to manage any synergies and gaps;
  • Execution and monitoring of risk management practices, operational issues and control breakdowns;
  • Track and report on non-compliance items to ensure remediation plans are in place and communicated appropriately;
  • Deal with, respond to and manage correspondence and statutory notices from ASIC;
  • Act as the contact point with ASIC;
  • Management of the risk framework within business
  • Provide a full compliance advisory service to the different business units;
  • Produce regular updates and report on regulatory concerns to ASIC;
  • Incidents, Errors and Breach management (market participant and AFSL licensee breaches);
  • Assist with AML & CTF compliance oversight and implementation;
  • Balance regulatory requirements with business requirements;
  • Provide constructive feedback to stakeholders in a professional manner and undertake training for gaps identified;
  • Produce and regularly update and communicate a regulatory framework working alongside the core compliance team;
  • Regularly promote compliance within business units;
  • Develop and deliver training
  • Preferable but not essential, provide general legal advice e.g. review confidentiality deeds, supplier agreements, draft employment contracts etc.


  • Experienced compliance professional with a proven track-record in, and understanding of, risk management and the regulatory and compliance environment in financial services and stockbroking.
  • Minimum of 5 years’ experience working in a legal/compliance capacity for a Australian Financial Services Licensee/stockbroker.
  • Comprehensive understanding of regulatory framework governing financial services licensees and market participants .
  • Hold relevant tertiary qualifications in preferably Law, also consider Audit, Finance, Commerce or a similar discipline.
  • Broking/Securities experience required.
  • Strong communication and interpersonal skills, resiliency and sound judgement.
  • Demonstrate a high degree of commercial acumen and self-motivation.

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