Compliance Officer (Mat Leave Cover)

• Support the compliance program to ensure adherence to relevant regulatory registrations and licensing requirements within the securities industry • Assist in providing guidance on AML/CTF and sanctions obligations, supporting the Money Laundering Reporting Officer (MLRO) • Participate in AML investigations and assist in the timely submission of Suspicious Matter Reports (SMRs) to AUSTRAC • Conduct enhanced due diligence (EDD) on high-risk customer relationships to ensure regulatory compliance • Assist in fraud and scam investigations, ensuring appropriate tracking, escalation, and reporting • Support the investigation and resolution of customer complaints, compliance incidents, and potential breaches, including IDR and EDR matters • Contribute to the development and delivery of compliance training and awareness initiatives • Draft, review, and update compliance policies, procedures, and internal guidelines to ensure alignment with regulatory requirements and business practices • Assist in maintaining and enhancing the compliance policy framework, including periodic reviews and version control • Support the compliance monitoring program by identifying risks and assisting in the implementation of appropriate controls • Monitor regulatory developments and assess their impact on the business and compliance framework • Provide compliance support to product, technology, and front/middle/back office teams to ensure regulatory alignment.