Compliance Officer

  • Location

    Sydney, New South Wales

  • Sector:

    Banking & Financial Services

  • Job type:


  • Salary:


  • Contact:

    Sophia Wynter

  • Contact email:

  • Job ref:


  • Published:

    about 1 year ago

  • Expiry date:


  • Startdate:


The Company:

  • Active Fund Manager, traditional and alternative high conviction strategies.
  • Global and Australian only investments.
  • Small office in Sydney (CBD).

The Role:

  • Develop the framework to ensure compliance with legal and regulatory obligations;
  • Regulatory horizon-scanning and updating policies accordingly (ie. AFSL requirements, ASX requirements);
  • AML / CTF KYC and related due diligence and product rationale;
  • PA Account Dealing;
  • Employee Training;
  • Co-Secretarial and Corporate Commercial support.

The Candidate:

  • Proactive, hands-on, strong common sense;
  • Flexible communication skills;
  • Operational Risk or Legal or Compliance backgound;
  • Must have Financial Services experience;
  • Full Australian working rights.

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.

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Taylor Root is part of the The Specialist Recruitment Group PTY LTD, which is acting as an Employment Agency in relation to this vacancy.

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