Legal & Compliance Manager

Location: Melbourne CBD, Victoria
Contract Type: Permanent
Specialisation: Banking & Financial Services
Salary: Negotiable
REF: BBBH233078_1558337240

Legal & Compliance Manager

Melbourne CBD

Up to $150K + Attractive share plan

Ambition has been retained by a fast-growing wealth management firm based in Melbourne CBD. The firm is growing considerably and looking to expand their operations internationally in the next eighteen months.

Providing an excellent and supportive work environment, they embrace flexible working and a great culture built on trust and respect.

An opportunity has arisen for a Legal & Compliance Manager that will work closely with the Executive team. Reporting directly to and working closely alongside the CFO, you will be responsible for implementing and monitoring the organisation's overall risk management framework and managing the Group's regulatory compliance requirements. Specifically, your responsibilities will include, but not be limited to:


  • Manage the Group's regulatory compliance requirements including the requirements of its AFSL, ACL and RE licenses
  • Assist in the management and co-ordination of risk and compliance training sessions to ensure the staff are informed of their regulatory obligations
  • Maintain breach, complaints, and conflicts of interest registers
  • Assisting in drafting, implementing, monitoring and reviewing company risk and compliance policies and procedures
  • Reporting to the Compliance Committee on a monthly basis
  • Preparing the quarterly Compliance Board Paper
  • Managing and coordinating risk and compliance training sessions
  • Conducting periodical audits of client files


  • Prepare the Formal Offer of Finance for borrowers, ensuring all special conditions and loan covenants have been captured and recorded
  • Manage the briefing, selection, instruction and ongoing communication with the panel solicitor on each file to completion
  • Ensure timely and accurate preparation of all facility agreements by the panel solicitors
  • Oversee the satisfaction of all settlement conditions precedent with the assistance of the borrower's Account Manager
  • Prepare and organise settlements with acting panel solicitor (including the preparation and execution of all documents required for settlement)
  • Assist in the preparation of the Disbursement Schedule for Settlement Liaise with all key stakeholders to ensure the settlement process runs smoothly

Skills/Experience required

  • The successful candidate will ideally have similar experience within a retail or wholesale managed fund or significant experience within a financial services institution
  • An understanding of mortgage backed securities will be a big advantage
  • Possess a strong understanding of the regulatory environment
  • Being confident and resilient with excellent emotional intelligence
  • You will possess superior stakeholder management skills which will allow you to work with stakeholders of all seniority
  • A previous background/Qualifications in legal will be highly regarded

For a confidential discussion, please contact the retained Consultant, Kris Owens on (03) 8629 1047, or APPLY NOW by clicking the button below.