Compliance Executive

ABOUT THE ROLE

We are looking for a Compliance Executive to join our AU compliance team. You will own the day-to-day compliance programme for our Australian regulated entities — covering ASIC, AUSTRAC, APRA and ATO obligations — and grow with the business as our regulatory footprint expands.

This is a hands-on role suited to someone who is comfortable working independently in a cross-border team, enjoys the operational side of compliance, and wants broad exposure across multiple regulatory regimes.

WHAT YOU'LL DO

• Manage the compliance obligations calendar and ensure regulatory submissions are completed accurately and on time across ASIC, AUSTRAC, APRA and ATO.

• Conduct KYC, KYB and CDD reviews for clients and counterparties, applying AML/CTF requirements including SOF assessment, sanctions screening, and EDD where triggered.

• Prepare and lodge regulatory reports: IFTI, SMR, TTR, AUSTRAC Annual Compliance Report, ASIC IDR, Industry Funding returns, FS70/71 audits, APRA Form 701, and CRS/FATCA filings.

• Maintain the authorised representative register and support CAR appointment processes via ASIC Connect.

• Keep compliance records, SOPs and entity information up to date across internal systems (SharePoint, Confluence).

• Support external audits, regulatory reviews, and ad hoc advisory queries from the business.

• Contribute to policy updates, training materials and compliance monitoring as the team and business evolve.

WHAT WE'RE LOOKING FOR

• 1–3 years of compliance experience in Australian financial services, with exposure to AUSTRAC and/or ASIC obligations.

• Hands-on experience with KYC/KYB reviews, AML/CTF programmes, or regulatory reporting — not just policy drafting.

• Comfortable working across multiple regulators and managing recurring compliance deadlines independently.

• Strong attention to detail and documentation discipline — you keep clean, auditable records.

• Mandarin proficiency is a strong advantage given our team and client base.

• Experience with remittance, payments, DCE, or derivatives compliance is a plus.