Compliance Officer

About Alpha Node Group

Alpha Node Group is a unique firm specialising in funds management and financial advisory across both digital assets and traditional finance. The firm is looking for an experienced candidate to join the team as a Compliance Manager to help manage its operational compliance obligations and implement a few exciting projects nascent to the Australian financial services sector.

This role includes:

• Assisting in the compliance monitoring of key risks and controls;
• Preparing and attending compliance committee meetings;
• Implementing group AML program and act as AML officer;
• Maintaining compliance registers;
• Onboarding and training new staff and representatives;
• Managing complaints and queries from regulators (incl. AFCA);
• Reviewing marketing materials and research reports;
• Conducting training and ensuring representatives are up to date with their CPD;
• Updating policy documents and client forms;
• Maintaining a positive relationship with the advisors and external providers;
• Preparing and drafting any applications to the ASIC or AUSTRAC;
• Assisting with licensee audit/reviews and insurance renewal; and
• Assisting with the resolution of adviser and client queries in a timely manner.

To be successful in this role you will have:

• 4–7 years' experience as a Compliance Officer in financial services sector
• Strong working knowledge of Australian financial services regulation
• Experience liaising with regulators, auditors, advisers, and senior management
• High attention to detail, results-driven, and strong communication skills
• Ability to work independently and multi-task
• Tertiary qualification in law, commerce, finance, risk or a related discipline (preferred)

Overall, this is an autonomous role which will offer you an excellent opportunity to further develop your leadership and technical skills. We offer flexible working arrangement to suit school hours and WFH days. Please send your covering letter and resume to Joseph Ho ([email protected]).