Senior Compliance Officer

About La Trobe Financial
La Trobe Financial is Australia’s leading alternative asset manager, helping Australians build better futures for over 70 years. With $25 billion in assets under management and the trust of 160,000 customers, we’ve grown through a commitment to service, innovation, and putting people first.
We don’t just deliver retirement income – we shape lives, careers, and communities. Our culture is built on trust, excellence, accountability, and a shared purpose: to make a meaningful difference every day.
Build your future with us.
The Opportunity
We are seeking an experienced Senior Compliance Officer to join our Line 2 Compliance team, in our Risk and Governance division.
This role will support the development of the organisation’s approach to compliance management and contribute to various uplift initiatives to support its maturation.
You will draw from your strong working knowledge of the legislative and regulatory obligations impacting on the financial services sector, particularly within Asset Management, to provide practical and commercially aligned compliance advice to the business. You will have the opportunity to engage with senior management and become a trusted advisor to the business, as well as an essential member of the broader Risk and Governance division.
Key Responsibilities
Reporting to the Senior Compliance Manager and working alongside Compliance, Risk, Assurance and Legal team members, this role will manage and assist in key compliance activities, including:
Framework / Strategic
Support the ongoing strengthening of the Compliance Management Framework.Support the strengthening of our Regulatory Change Impact Assessments.Provide practical, commercially focused compliance advice aligned to legislative requirements and risk appetite across our lending and asset management business.Support the development and maintenance of compliance policies, processes and controls.Conduct thematic reviews and deep-dives to identify compliance gaps, control weaknesses and improvement opportunities.
Operational
Manage breach investigations, assessments and regulatory reporting obligations.Manage responses to regulatory notices and third-party information requests.Oversee and enhance new and existing product compliance frameworks, ensuring adherence to Design and Distribution Obligations (DDO) and other applicable regulatory requirements.Prepare and lodge statutory and regulatory reports and filings.Support compliance training administration, monitoring and reporting.Prepare compliance reporting for management, governance committees and the Board.Conduct compliance reviews of marketing materials and maintain related records.Support the delivery of risk and compliance projects.
Leadership
Build strong relationships across the business and collaborate with Compliance, Risk and Legal teams to promote a positive risk and compliance culture.Encourage teamwork and mentor junior team members.
About You
You are required to work exceptionally well with people, and utilise your strong interpersonal communication, problem solving and analytical skills, while maintaining a curious and positive mindset to help deliver on the role objectives. You will also possess the following experience:
At least 5 years of experience within the financial services or asset management sector preferably with significant experience obtained within a line 2 Compliance function.Tertiary qualifications in Law, Commerce or Risk Management preferred.Experience gained in drafting compliance policies and procedures.Experience gained in compliance plan monitoring, compliance attestation processes, breach assessment and reporting, regulatory change management and AFS/ACL licensing requirements.Experience and ability to coach and mentor junior team members.
Employee Benefits
We’re all about balance – delivering great work and enjoying the journey. Alongside a competitive salary, here are some perks that make working with us even better:
Celebrate your birthday – with a paid day off, just for you!Give back – with paid volunteer days to support causes you care about;More time for you – purchase additional annual leave when you need it;Support for families – 18 weeks paid primary carer parental leave plus superannuation contributions;Wild perks – free annual membership to Taronga Zoo and Collingwood Football Club!Wellbeing first – access to our Employee Assistance Program (EAP);Keep growing – with ongoing training and development opportunities;Unforgettable socials – from team events to celebrations you’ll actually want to attend! andRetail therapy – enjoy discounts through Reward Gateway.
Diversity & Inclusion
We’re committed to creating a workplace where everyone feels respected, valued, and safe. We welcome applications from people of all backgrounds and proudly support an inclusive recruitment process and work environment. If you require adjustments at any stage of the process, please let us know, we’re here to help.
Please note that only shortlisted candidates will be contacted.