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Compliance Manager

Bluefin Resources

Job Description

Accountable for providing 2nd line compliance support to the wealth Operational business. Role will focus primarily on compliance. Build relationships with key stakeholders in a very broad role.

Highly regarded Bank are seeking a Compliance professional to join their Wealth Management 2nd line business in a key role supporting their Wealth Operations business. This is a line 2 team and the role is a mix of compliance and hybrid. You will be charged with managing all facets of compliance as well as getting hold of key projects and pieces of work as the regulatory landscape continue to change. The role will uplift team being able to support process around Industry perspective changes to the ASIC breach reporting regime


  • Provide compliance advice across regulatory obligations to the risk and business teams
  • Incident mgmt. framework, compliance assessments, Performing part of breach Notifications.
  • Ongoing reporting obligations into APRA - work on privacy side
  • Record Compliance Incidents and breaches and ensure all are logged in a timely manner
  • Build credibility and a strong risk and compliance culture across the group
  • Provide ongoing Compliance Training and present at risk forums


  • Strong compliance background from the Financial Services industry or Consulting firm
  • Tertiary qualifications and/or ideally a legal background OR from a finance or accounting background
  • An understanding of wealth products, Superannuation and IDPS related compliance obligations would be advantageous.
  • Proven ability to meet deadlines and deliverables
  • They must also have excellent analytical writing, report writing and compliance assessment skills.
  • Excellent stakeholder engagement skills including the ability to provide a collaborative risk and compliance service to the business
  • Ability to prioritise and manage your own timeframes and deliver results

This is a highly visible role to join a leading financial services company with a strong reputation in the market for developing their staff and providing excellent work life balance. Opportunity to expand on, or take a step up in your career within risk and compliance across the wealth management sector.

Click APPLY to submit your details for this opportunity, or for a confidential discussion please contact Karen Thorne from Bluefin Resources on 02 9270 2605 or email your cv in word format . All applications will be treated in strictest confidence.

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