Maintain the AFSL compliance framework and ensure compliance with the Corporations Act
Manage breach of reporting and maintain key compliance registers (breaches, incidents, conflicts, complaints)
Oversee Design & Distribution Obligations (DDO) and financial resource compliance
Provide regular compliance reporting to the Executive and the Board
Support Board and Committee oversight of AFSL obligations
Prepare compliance reports, agenda items, and meeting minutes
Track regulatory commitments and maintain governance documentation
Monitor regulatory developments and update Directors and Executive
Oversee compliance with the non-cash payment facility
Review product documentation (PDS, T&Cs, disclosures)
Support regulatory aspects of product changes and initiatives
Provide compliance guidance to Sales and Customer teams
Ensure compliance with client money obligations and fund segregation
Oversee reconciliation processes and escalation frameworks
Work with Finance to maintain integrity of payment flows and support audits
Maintain the AML/CTF Program and oversee KYC processes
Manage AUSTRAC reporting and conduct AML risk assessments
Monitor transaction and sanctions screening controls
Run the compliance monitoring program and internal control testing
Deliver compliance training and support regulatory change management

4–8 years’ experience in financial services compliance
Bachelor's degree in Law, Commerce, Finance or related discipline
Relevant compliance or governance qualification (e.g. Graduate Diploma in Applied Corporate Governance, Diploma of Financial Services, RG 146
Tier 2
Non-cash payment products)
Experience operating within an AFSL environment
Strong understanding of: Non-cash payment facilities or payments products, Corporations Act, AFSL obligations, Client money requirements, AML/CTF regime
Ability to work closely with Finance and operational teams
Strong written and regulatory interpretation skills
Experience dealing with ASIC and/or AUSTRAC

Compliance Manager

Key skills