Compliance Manager

As an award-winning professional services firm and Great Place to Work certified employer, we are committed to creating an exceptional employee experience where our people feel valued, supported and empowered to grow their careers. Our culture is built on trust, respect and innovation, and we're proud to provide meaningful career opportunities in an environment where people genuinely enjoy coming to work.

We're looking for a Compliance Manager to join our Operations team in Newcastle.

This role offers a broad remit and the opportunity to work closely with senior decision-makers while developing practical solutions that support the business and strengthen our compliance culture.

Why join Prosperity?

When you join Prosperity, you're joining a firm that is committed to your professional growth and wellbeing.

Employee Benefits & Experience

• Great Place to Work Certified employer
• A genuine people first culture with visible leadership support and regular planned social events.
• Competitive  salary + Balance Scorecard bonus and extensive employee benefits (Fitness Passport, novated leasing, staff lending).
  
• Professional membership support, training and clear career progression.Learning and development opportunities
• Employee Assistance Program (EAP)
• Modern CBD office environment
• Team events, social activities and community engagement opportunities
• Supportive leaders who genuinely invest in your success
• A collaborative and inclusive workplace culture where your contribution is recognised and valued

About the Role

Take the lead in strengthening compliance and governance across a dynamic professional services environment.

We’re looking for an experienced Compliance Manager who can bring regulatory requirements to life and make compliance part of the way we work every day.

Partnering with our Chief Operations Officer, Directors and service-line leaders, you’ll be the central point of coordination for the firm’s compliance framework across regulatory obligations, AML/CTF, professional standards, policies, insurance, complaints, incidents and regulatory change.

Key Responsibilities

• Compliance & regulatory change: Maintain the compliance framework, obligations register and compliance calendar, coordinate reviews and monitor regulatory developments through to implementation.
• Professional standards & policies: Coordinate professional and ethical requirements, including APES 110, independence and conflicts, while maintaining the firm’s central policy framework.
  
• AML/CTF: Support the AML/CTF Program across risk assessment, due diligence, beneficial ownership, monitoring, reporting, training and escalation.
• Complaints, incidents & breaches: Coordinate matters from initial identification through to investigation, remediation and closure, including escalation where external notification or specialist advice may be required.
• Insurance & declarations: Coordinate key insurance renewals and claims notifications and maintain declarations relating to conflicts, outside interests, gifts and independence.
• Monitoring & training: Deliver the annual compliance monitoring program and coordinate mandatory compliance training and guidance.
• Executive reporting: Provide concise reporting to the COO, Executive Leadership Team and Board on material compliance matters, outstanding actions and emerging risks.

About You

You have experience across compliance, governance, risk, audit or professional services operations, together with the ability to interpret regulatory requirements and turn them into practical processes.

You’ll also bring:

• Strong writing and documentation capability.
• Excellent attention to detail and record keeping.
• Sound professional judgement and discretion.
• Confidence working with senior stakeholders.
• The ability to manage competing priorities and drive actions through to completion.
• A practical, collaborative and solutions-focused approach.
• Experience within accounting, advisory or financial services, particularly involving AML/CTF, professional standards, insurance, complaints or regulatory investigations, will be highly regarded.
• Qualifications in compliance, risk, governance, accounting, business or law would also be advantageous.

Discover a Career with Prosperity

This is an excellent opportunity for an experienced compliance professional to take on a key role in strengthening the firm’s compliance and governance framework. Working closely with senior leaders and business owners, you will help translate regulatory and professional obligations into practical business processes, while continuing to develop your expertise within a firm that invests in the success and development of its people.

 Apply today and discover what a career at Prosperity could look like.

Join our team today!

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• For a confidential conversation, please reach out at **********@prosperity.com.au.

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