Compliance Officer (Global Investment & Wealth Management Brand) - 12 Months Contract Convertible to Permanent

Compliance Officer (Global Investment & Wealth Management Brand) - 12 Months Contract Convertible to Permanent
About the RoleA great opportunity for a compliance professional to build broad, hands-on experience across regulatory compliance in a fast-moving fintech/securities environment. You'll support day-to-day compliance operations spanning regulatory obligations, fraud investigations, incident management, marketing review, and dispute resolution.
BenefitsCompetitive salary + bonus (Up to AUD 110K + Super + Bonus)Group health insuranceStrong training and development pathway in financial services
What You'll DoSupport compliance with licensing and regulatory obligations under the AFSL regimeKeep across relevant financial services legislation and ASIC Regulatory Guides, flagging regulatory developments as they ariseAssist with fraud/scam investigations — reviewing cases, liaising with stakeholders, maintaining records, and escalating/reporting as neededMaintain accurate compliance registers (complaints, incidents, breaches, regulatory matters)Contribute to breach and incident management: assessment, investigation, documentation, escalation, and remediation trackingReview marketing and business materials against regulatory standards (e.g. RG 234), providing practical feedback to stakeholdersHandle customer complaints under Internal Dispute Resolution processes and RG 271 — assessment, investigation, written responses, and escalation of complex casesSupport AFCA disputes: evidence gathering, response drafting, internal coordination, recordkeepingSupport collection, validation, and reporting of complaints data per ASIC requirementsPartner with product, tech, operations and front/back-office teams on regulatory alignmentAssist with internal audits, external reviews, and regulatory inquiries, including remediation follow-upPrioritise across competing demands and escalate urgent/sensitive matters promptly
What You'll Bring1–2 years' experience in compliance, risk, or complaints handling (financial services/fintech preferred)Working knowledge of the Australian financial services regulatory framework; familiarity with RG 234, RG 271 and AFSL obligations a plusStrong written and verbal communication — able to translate complex compliance matters clearlyExperience with complaints handling and AFCA matters advantageousSharp analytical skills and attention to detailStrong prioritisation and time-management, with sound judgement on escalationComfortable operating in a fast-paced, digital-first environment across multiple stakeholder groups