About the job
Compliance Officer (Global Investment & Wealth Management Brand) – 12-Month Contract Convertible to Permanent
About the Role
This compliance officer role is a 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.
Benefits
- Competitive salary + bonus (Up to AUD 110K + Super + Bonus)
- Group health insurance
- Strong training and development pathway in financial services
What You’ll Do
- Support compliance with licensing and regulatory obligations under the AFSL regime
- Keep across relevant financial services legislation and ASIC Regulatory Guides, flagging regulatory developments as they arise
- Assist with fraud/scam investigations — reviewing cases, liaising with stakeholders, maintaining records, and escalating/reporting as needed
- Maintain accurate compliance registers (complaints, incidents, breaches, regulatory matters)
- Contribute to breach and incident management: assessment, investigation, documentation, escalation, and remediation tracking
- Review marketing and business materials against regulatory standards (e.g. RG 234), providing practical feedback to stakeholders
- Handle customer complaints under Internal Dispute Resolution processes and RG 271 — assessment, investigation, written responses, and escalation of complex cases
- Support AFCA disputes: evidence gathering, response drafting, internal coordination, recordkeeping
- Support collection, validation, and reporting of complaints data per ASIC requirements
- Partner with product, tech, operations and front/back-office teams on regulatory alignment
- Assist with internal audits, external reviews, and regulatory inquiries, including remediation follow-up
- Prioritise across competing demands and escalate urgent/sensitive matters promptly
What You’ll Bring
- 1–2 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 plus
- Strong written and verbal communication — able to translate complex compliance matters clearly
- Experience with complaints handling and AFCA matters advantageous
- Sharp analytical skills and attention to detail
- Strong prioritisation and time-management, with sound judgement on escalation
- Comfortable operating in a fast-paced, digital-first environment across multiple stakeholder groups
Ready for This Role?
Reach out to francis.bandong@salientgroup.com.au
