We're on the hunt for a Senior Compliance Analyst who knows their way around both Aussie and US financial regulations including SEC. This is a great opportunity to join a high-performing investment team and make your mark in a role that touches every corner of the business—from collaborating with senior leadership to ensuring day-to-day operations are squeaky clean from a regulatory standpoint.
This is a part-time role working 2-3 days per week in the Sydney office.
What you’ll be doing:
- Ensuring compliance with ASIC, AFSL, and SEC requirements
- Spotting compliance risks and advising on solutions
- Maintaining policies, manuals, and procedures for audit requirements
- Leading regular reviews to make sure compliance controls actually work
- Helping prepare and submit reports like Form ADV and Form PF
- Working with investment and ops teams to implement new regulatory changes
- Supporting audits and responding to regulatory queries including SEC ones
- Staying up-to-date on all the latest regulatory developments in AU and the US
- 3+ years' experience in a compliance role, ideally within investment or financial services
- Solid understanding of ASIC and SEC frameworks
- Familiarity with US regulations
- Sharp attention to detail, strong communication skills, and a proactive mindset
- Relevant qualifications in Law, Finance, or similar—RG 146, CFA, or US compliance certs ideal