Compliance & Risk (Banking & Financial Services)
Join Australia's leading Alternative Asset Manager, a trusted name since 1952. Our exceptional culture and unwavering commitment to our customers have propelled La Trobe Financial to manage over $20 billion in assets and employ more than 550 talented professionals across Melbourne and Sydney.
The Opportunity
Are you ready to elevate your career in compliance? We are looking for an experienced Compliance Officer to join our Line 2 Risk & Governance Division. In this pivotal role, you'll provide expert advice, guidance, and oversight to help La Trobe Financial enhance its compliance practices.
You'll collaborate with our Compliance, Risk, Assurance, and Legal teams to manage key compliance activities and contribute to the enhancement of our compliance management framework.
Key Responsibilities
Enhance our compliance management framework, including obligation register management and regulatory change impact assessments.
Support Responsible Manager and Authorised Representative governance, corporate documentation, and compliance plan activities.
Perform compliance deep-dives and thematic reviews to identify gaps and areas for improvement.
Foster a positive compliance culture by delivering practical and commercially aligned advice.
Investigate incidents, prepare breach assessments, and manage notifications to regulators.
Assist with statutory and regulatory report preparation and management reporting.
Handle third-party information requests and respond to regulatory notices and inquiries.
Assist in creating training materials and guidance aligned with our compliance framework and activities.
Manage the compliance training schedule and reporting.
Work closely with Compliance, Risk, and Legal teams to promote a collaborative and risk-aware culture. Exhibit leadership behaviours and contribute to a teamwork-focused environment.
About You
At least 3 years of compliance experience in the financial services or asset management sector.
Tertiary qualifications in Law, Commerce, or Risk Management an advantage.
Strong understanding of the financial services and asset management regulatory landscape (e.g., AFSL/ACL, Corporations Law, Responsible Lending, AML/CTF, Privacy).
Excellent written and verbal communication, analytical and problem-solving skills, and the ability to influence and negotiate outcomes effectively.
Ability to establish credibility and foster a positive compliance culture.
Employee Benefits
Flexible working arrangements
Option to purchase additional leave
Employee Assistance Program (EAP)
Training opportunities
Social events
Retail discounts through Reward Gateway
Please note that only shortlisted candidates will be contacted.
Your application will include the following questions:
How many years' experience do you have as a compliance officer?
How many years of asset management experience do you have?
Which of the following statements best describes your right to work in Australia?
How many years' experience do you have in the financial services industry?
La Trobe Financial has been Australia's Premier Alternative Asset Manager for over seven decades. Our culture combined with our commitment to service and our customers has seen La Trobe Financial grow to over $19 billion Assets Under Management and over 550 employees deployed across Melbourne and Sydney.
Our philosophy 'others before self' is a fundamental part of who we are and reflects the principles by which we conduct ourselves, shaping what we do and how we do it. Our values are embedded into the operations of our business as well as our underlying culture.
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