Our client is an ASX-listed business that has grown substantially due to its innovative and high-performing culture. A dynamic organisation that is committed to making a positive impact and shaping a better future, their passionate team embraces innovation and works collaboratively to drive success.

About the Role:

We are seeking a senior risk and compliance professional to partner with the business and senior leaders.

As the leading compliance and risk partner across investment operations and front office investments, this role is responsible for utilising a deep understanding of the investments/investment operations landscape to consult internal and external stakeholders on compliance and regulatory standards and best practices.

Key Responsibilities:

• Conduct research, analysis, and reporting on risk and compliance matters, including lodging regulatory documentation with relevant authorities such as ASIC and APRA;
• Oversee risk and compliance activities, assess incidents, manage resolutions, and report on compliance performance;
• Provide training to internal staff on compliance matters, including but not limited to compliance laws, industry standards, Australian policies and procedures;
• Providing relevant compliance advice to key stakeholders within the business in line with the APRA prudential standards; AND
• Monitor the legal and compliance inbox and communicate relevant information to various departments and business units.

About You:

• At least 5 years of experience in financial services risk and compliance, with exposure to managed investments and superannuation products;
• Demonstrated experience in investment markets and investment operations;
• Strong understanding of financial services laws and regulatory expectations (e.g., ASIC, APRA, OAIC);
• Proven ability to conduct compliance reviews, manage incidents, and provide clear, actionable advice to stakeholders;
• Experience in preparing regulatory documentation and interacting with regulatory bodies (e.g., ASIC, APRA, AFCA, ATO); AND
• Proficiency in managing compliance frameworks and developing compliance training materials.

This is a great opportunity for someone wanting to focus on regulatory compliance, risk management, and stakeholder engagement; making it a strong fit for a leadership partnership role in risk and compliance.

If you are interested in learning more about this position, please contact Amanda Chisholm on 0412 123 726 or alternatively at Kaizen Recruitment, or apply via the attached link

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