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Risk and Compliance Manager

An exciting opportunity exists to join a growing, innovative technology company within the share registry market in Australia. Our philosophy is that good people make good companies. Due to strong growth we are looking to recruit an enthusiastic and energetic person who will fit in with our culture and is ready to take the next step in their career.

Our highly regarded and experienced team are committed to delivering a complete customer-focused registry experience. With a national presence, a new technology platform and an innovative approach to servicing our clients, we are the fastest growing share registry in the market.

The Role:

In the role of Risk and Compliance Manager, you directly report to the Chief Operating Officer. Your primary focus in this hands-on role is developing and maintaining Automic’s approach and adherence to risk and compliance related activities, policies and standards.

In this role you will be required to engage with key stakeholders across the business, ensuring all compliance activities are well communicated and carried out across the business.

In supporting the business, your priorities will shift as required to meet overall business objectives. You will be assigned various projects with specific timelines. You will be flexible in your approach and adapt accordingly to meet these requirements.

At all times you will represent the Automic Group as a strong ambassador of our culture and overall brand.


The key responsibilities of the role are set out below:

  • Accountable for understanding Corporations Act and Listing Rules and how it affects our business,  clients, processes and systems
  • Responsible for monitoring, planning, implementing changes and training staff in accordance with expected timetable
  • Development of new, and maintaining existing, policies in conjunction with our legal team
  • Process establishment and continual improvement
  • Ensure ongoing product conformity with a customer focus
  • Ongoing identification of business stakeholders and their needs
  • Oversight and direct operation of all business compliance systems
  • Managing initial and ongoing client diligence including attending client meetings and direct liaison with the client’s Risk and Compliance teams
  • Directly operating and developing our ALM/CTF, FTACA/CRS and other core compliance frameworks
  • Accountable for understanding AUSTRAC obligations and how it affects our business, clients, processes and systems.  Responsible for monitoring, planning, implementing changes and training staff in accordance with expected timetable
  • Assessing, evaluating, monitoring and reporting on investor declarations and maintaining client’s specific AML/CTF risk assessment framework
  • Compliance monitoring and reporting to our clients in line with the agreed contractual KPIs
  • Identification, basement and treatment of operational business risk
  • Recording and resolution of compliance non-conformity and corrective actions
  • Planning, execution, and tracking of internal compliance audit
  • Planning for and coordinating external compliance audit (e.g. GS007, ASX audit)
  • Planning and actioning all routine annual regulatory reporting returns
  • Coordinating regulator engagement (contact and responses) in conjunction with our legal team

Demonstrated Capabilities (Skills) 

  • Relevant Degree Qualification
  • Sound understanding of relevant legislations including AML/CTF, FATCA, CRS, Privacy and Corporations Act, as well as ASX listing rules
  • Strong awareness of information and data security best practice standards
  • Understanding of ISO9001 and 27001
  • 3+ years directly in a corporate compliance role
  • Knowledge of Jira/Confluence is highly desirable
  • Knowledge of ISO 31000 is highly desirable

Core Skills:

  • Logical/Problem Solver – Think things through logically. You have an eye for patterns and meanings and enjoy tackling problems
  • Driven/Reliable – You take responsibility and ownership of your work and consistently deliver good quality results. Nothing gets by you, nothing gets dropped
  • Team builder – You will leverage your ability to develop others to create a high-performance team
  • Resilient – Even when things are difficult, you will continue to work through a positive outcome for our customers and Automic team
  • Quick learner/Efficient – You are a quick learner, a great multi-tasker and effective in adopting new processes, techniques and best practices
  • Executer – You get the job done, delivering quality results at all times.

At Automic Group, we believe in developing the growth of our employees. We invest in, and back our own. In addition, we offer a competitive remuneration package for the right candidate.  If you like the sound of this, then you should think seriously about whether you are ready to join Automic Group. Please apply to: clare.elsworth@automicgroup.com.au