Working closely with internal stakeholders, you’ll help embed compliance into day-to-day operations while supporting the ongoing growth of the business in a well-regulated environment.
Key Responsibilities
- Maintain and continuously improve compliance and operational process documentation
- Execute the compliance calendar, including reporting, attestations and periodic reviews
- Investigate incidents, breaches and risk events, including root cause analysis and remediation support
- Monitor transactions and alerts for potential suspicious activity and escalate where required
- Prepare and submit Suspicious Matter Reports in line with AML/CTF obligations
- Maintain compliance registers (incidents, breaches, complaints, AML matters), ensuring accuracy and completeness
- Conduct investigations into client accounts and activity, identifying risks, anomalies or potential breaches
- Prepare clear, structured documentation of investigations, decisions and outcomes
- Support regulatory reporting and external requests, ensuring accuracy and timeliness
- Work with the business to embed regulatory requirements into operational processes and controls
- Monitor adherence to policies and procedures, identifying gaps and recommending improvements
- Support governance activities, including preparing materials and maintaining records for licensing obligations
- Assist in maintaining key regulatory documents (e.g. disclosure documents and product governance frameworks)
- Perform ongoing transaction monitoring and review of AML alerts
- Investigate unusual or suspicious client behaviour and account activity
- Prepare and lodge SMRs in accordance with regulatory requirements
- Support AML/CTF compliance frameworks, including policies, procedures and controls
- Assist with periodic AML risk assessments and reviews
- Contribute to continuous improvement of financial crime processes and controls
- Experience in a compliance, risk, AML or operations role within financial services
- Tertiary qualification in finance, law or business (or relevant field)
- Strong execution capability with experience managing compliance tasks, registers and reporting obligations
- Strong initiative and ability to think outside the box
- Experience conducting investigations and documenting clear, structured outcomes
- High attention to detail with strong documentation and record-keeping skills
- Practical, process-driven mindset with the ability to translate regulatory requirements into operational actions
- Strong organisational skills and ability to manage competing priorities and deadlines
- Clear written communication skills, particularly for compliance and regulatory matters