SydneyFull-timeConsulting / Legal / Education / Research

Responsibilities

Collaborate with business units to understand their products, services, and regulatory obligations.
Assist in maintaining and improving compliance policies, procedures, and controls to manage regulatory risks.
Conduct ongoing compliance monitoring reviews and risk assessments.
Take ownership of delivering regulatory training across the business.
Support the complaints handling process, especially with escalated cases.
Review marketing materials, client communications, and website content to ensure regulatory compliance.
Help maintain records, registers, and reports for the Compliance department.
Work closely with internal teams and external regulators to promote a positive compliance culture.

Qualifications

A Bachelor’s Degree in Law, Business Law, Commerce, Finance, or a related field.
A keen interest in financial markets and regulations.
Exposure to ASIC, AUSTRAC, AFCA, and the Corporations Act is preferred but not essential.
Fluency in Mandarin is required.
Strong communication skills and a growth mindset.
Recent graduates with distinction or honors will also be considered.
RG146-compliant candidates are preferred.

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Compliance Analyst (Financial Markets)