Compliance Analyst - Wealth/ Funds Management

Our client is a growing financial services business delivering innovative investment solutions to clients across Australia. This is a hands-on role focused on the execution of compliance, risk and AML activities across the business. You will play a key role in ensuring regulatory obligations are met through strong operational processes, accurate documentation and timely investigation of incidents and risks.

Working closely with internal stakeholders, you’ll help embed compliance into day-to-day operations while supporting the ongoing growth of the business in a well-regulated environment.

Key Responsibilities

• Maintain and continuously improve compliance and operational process documentation
• Execute the compliance calendar, including reporting, attestations and periodic reviews
• Investigate incidents, breaches and risk events, including root cause analysis and remediation support
• Monitor transactions and alerts for potential suspicious activity and escalate where required
• Prepare and submit Suspicious Matter Reports in line with AML/CTF obligations
• Maintain compliance registers (incidents, breaches, complaints, AML matters), ensuring accuracy and completeness
• Conduct investigations into client accounts and activity, identifying risks, anomalies or potential breaches
• Prepare clear, structured documentation of investigations, decisions and outcomes
• Support regulatory reporting and external requests, ensuring accuracy and timeliness
• Work with the business to embed regulatory requirements into operational processes and controls
• Monitor adherence to policies and procedures, identifying gaps and recommending improvements
• Support governance activities, including preparing materials and maintaining records for licensing obligations
• Assist in maintaining key regulatory documents (e.g. disclosure documents and product governance frameworks)

AML Responsibilities

• Perform ongoing transaction monitoring and review of AML alerts
• Investigate unusual or suspicious client behaviour and account activity
• Prepare and lodge SMRs in accordance with regulatory requirements
• Support AML/CTF compliance frameworks, including policies, procedures and controls
• Assist with periodic AML risk assessments and reviews
• Contribute to continuous improvement of financial crime processes and controls

About You

• Experience in a compliance, risk, AML or operations role within financial services 
• Tertiary qualification in finance, law or business (or relevant field)
• Strong execution capability with experience managing compliance tasks, registers and reporting obligations
• Strong initiative and ability to think outside the box
• Experience conducting investigations and documenting clear, structured outcomes
• High attention to detail with strong documentation and record-keeping skills
• Practical, process-driven mindset with the ability to translate regulatory requirements into operational actions
• Strong organisational skills and ability to manage competing priorities and deadlines
• Clear written communication skills, particularly for compliance and regulatory matters

APPLY NOW or email your CV to molly@gowrecruitment.com