Compliance Lead- Financial Services Platform

• Newly created role
• Reporting directly to the CRCO and partnering with the ELT
• Growing organisation with scope to build a long term career

About the Company:

Our client is a growing Australian financial services platform focused on delivering innovative investment, wealth, superannuation and financial solutions to retail customers. Through a technology-enabled platform, the business provides accessible and customer-centric financial products designed to support long-term financial wellbeing.
  
About the role:

An exciting opportunity exists for an experienced Compliance Lead to join a dynamic and fast-paced organisation operating within a regulated environment. Reporting into the executive of the risk & compliance function, this role will serve as the senior subject matter expert for compliance matters, providing strategic guidance across the business while ensuring regulatory obligations are effectively embedded, monitored, and evidenced.

The successful candidate will play a critical role in managing compliance frameworks, regulatory change initiatives, financial crime compliance programs, incident management processes, and stakeholder engagement activities. This position offers the opportunity to influence business outcomes, support innovation, and contribute to a strong culture of governance and customer focus.

Key Responsibilities:

• Lead the interpretation and implementation of regulatory obligations across the organisation;
• Provide compliance advisory support to business stakeholders on strategic initiatives, projects, products, and customer-facing activities;
• Maintain and enhance compliance frameworks, policies, procedures, and controls;
• Monitor regulatory developments and assess the impact of legislative and regulatory change;
• Manage compliance incidents, breaches, investigations, and remediation activities;
• Oversee financial crime compliance programs, including risk assessments, monitoring, reporting obligations, and periodic reviews;
• Review customer communications, marketing materials, disclosures, and operational processes to ensure compliance requirements are met;
• Prepare compliance reporting and insights for leadership and governance committees;
• Build strong relationships with internal stakeholders and external parties, including regulators, auditors, and service providers;
• Provide technical leadership, coaching, and guidance to compliance team members;
• Promote a strong risk and compliance culture across the business; AND
• Support the successful delivery of new business initiatives by embedding compliance requirements early in the project lifecycle.

Technical Skills & Qualifications Required:

• Significant experience in compliance, risk management, governance, or regulatory affairs within a regulated industry;
• Strong understanding of compliance frameworks, risk management principles, and regulatory obligations;
• Demonstrated experience managing regulatory change programs and compliance advisory activities;
• Experience investigating compliance incidents and coordinating remediation activities;
• Knowledge of financial crime compliance requirements, including AML/CTF obligations;
• Proven ability to engage and influence senior stakeholders across multiple business functions;
• Experience preparing reports and recommendations for executive leadership and governance committees;
• Strong analytical, problem-solving, and decision-making skills;
• Excellent written and verbal communication skills;
• Ability to translate complex regulatory requirements into practical business solutions;
• Relevant tertiary qualifications in Law, Finance, Business, Risk, Compliance, or a related discipline; AND
• Professional compliance, governance, risk, or financial services qualifications will be highly regarded.

If you are interested in learning more about this position, please contact Amanda Chisholm at amanda@kaizenrecruitment.com.au or apply via the link. 

Kaizen Recruitment is the exclusive recruitment partner for this position, and all applications will be reviewed and assessed directly by Kaizen Recruitment.

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