Regional Head of Compliance

Job Responsibilities

• Primarily responsible for the day-to-day maintenance and compliance management of AFSL and ASIC-related licences, ensuring the company remains fully compliant with regulatory requirements.

• Act as the primary liaison between the company and regulators including AUSTRAC, responsible for daily communication, document submission, reviews, and responses to regulatory inquiries.

• Monitor and implement compliance requirements related to AUSTRAC (AML/CTF), including policy maintenance, reporting obligations, and compliance of internal processes.

• Maintain and update all compliance-related documents, policies, procedures and regulatory records to ensure completeness, accuracy and traceability.

• Assist in developing, reviewing and optimising internal compliance policies, control procedures and operational guidelines to mitigate regulatory and compliance risks.

• Continuously monitor changes to the Australian financial regulatory landscape (AFSL, ASIC, AUSTRAC) and drive relevant internal updates and implementation.

• Provide compliance advice and support to internal teams to ensure consistency with regulatory requirements across departments.

• Prepare regular compliance reports and update management on compliance status and potential risks.

Job Requirements

• Education: Bachelor’s degree or above in Law, Finance, Accounting or a related field.

• Experience: Minimum 3 years of compliance experience in the financial services industry, with practical exposure to AFSL, ASIC or AUSTRAC being mandatory.

• Regulatory Knowledge: Sound understanding of the Australian financial regulatory framework, especially AFSL licence maintenance, ASIC engagement and AUSTRAC compliance requirements.

• Professional Skills: Strong ability to identify, analyse and resolve compliance risks.

• Communication Skills: Ability to liaise independently with regulators and collaborate effectively with internal teams.

• Technical Skills: Proficiency in written and spoken English; strong documentation skills; detail-oriented; familiar with Microsoft Office and compliance-related systems.

• Personal Attributes: Proactive, responsible, with sound professional judgment and execution capabilities.