Director – Compliance Governance

• Boutique Investment Manager
• Own the compliance governance framework
• Expert understanding of AFSL obligations and ASIC

We are exclusively partnering with a highly regarded Australian boutique investment manager to appoint a Director of Compliance Governance.

This is a rare opportunity for an experienced compliance professional to join a well-established, high-performing investment business with a strong institutional client base and an outstanding reputation for investment excellence.

The role sits within a collaborative senior Risk & Compliance function and will see you take ownership of the firm’s compliance governance framework, working closely with executive leadership, investment teams and the Board. It is well suited to someone who enjoys operating in a flat structure where influence, judgment and hands-on delivery are equally valued.

Key Responsibilities

• Lead and enhance the firm’s compliance governance framework.
• Oversee regulatory obligations, compliance plans and policy governance.
• Prepare Board and Committee reporting on compliance and regulatory matters.
• Coordinate regulatory change, assurance activities and remediation programs.
• Manage compliance attestations, breach reporting and issue management.
• Oversee Business Continuity Planning governance and testing.
• Review trading practices and best execution governance.
• Support governance across key third-party providers and vendors.
• Drive policy management and governance documentation.
• Partner with investment, operations, legal, risk and distribution teams.
• Support institutional client due diligence and RFP processes.
• Identify opportunities to improve governance, reporting and compliance systems.

You will ideally bring:

• Significant compliance, governance or regulatory experience within funds management or financial services.
• Strong knowledge of AFSL obligations, ASIC regulatory requirements and governance frameworks.
• Experience engaging with Boards, Committees and senior executives.
• Excellent communication, influencing and stakeholder management skills.
• A proactive, commercial mindset combined with an unwavering commitment to compliance.

This is a unique opportunity to join a high-calibre investment management business where you’ll enjoy broad exposure, genuine responsibility and the opportunity to make a meaningful impact.

To discuss this mandate in confidence, please reach out to Lyndsay Steadman via email to lyndsay.steadman@platinumpacificpartners.com.au.