MaxCap Group / About / Careers / Compliance Manager

Compliance Manager




Full Time




We have an exciting opportunity for a talented individual to join the Legal and Compliance team. Reporting to the Head of Legal, your responsibilities will include: maintain compliance with AFSL and other regulatory requirements, fiduciary obligations, fund governing documents and capital mandates; governance requirements and internal policies and procedures.


Apply for the role of Compliance Manager here – Compliance Manager Job in Melbourne VIC – SEEK

Roles & Responsibilities

  • Management and development of compliance systems by identifying and assessing compliance obligations, implementing controls, monitoring compliance and managing non-compliance.
  • Develop, review and implement MaxCap’s Compliance Management Plan and associated policies and procedures.
  • Assess potential conflicts of interests including in complex cross-holding situations.
  • Ensure currency of ASIC records relating to the AFSL and ACL.
  • Develop, review and implement AML / CTF policies and procedures.
  • Assist where required with KYC checks for borrowers and investors.
  • Review disclosure and marketing material, including information memoranda.

About You:

  • Significant experience in the financial services and/or funds management sectors.
  • Excellent understanding of AFSL regime and fiduciary obligations.
  • Experience managing external advisors.
  • Experience working in a fast paced, high expectation environment, while maintaining attention to detail.
  • Good lateral thinker with a flexible and agile approach.
  • Tertiary qualification in law, risk, compliance or relevant discipline.

Why Choose MaxCap:

  • A competitive remuneration package.
  • A range of employee benefits including personal wellbeing allowance, interstate travel, employee committee groups and paid parental leave.
  • A collaborative environment that offers support encourages career development and learning.
  • You will be a part of a dynamic business that enforces values, encourages inclusion and where ideas matter.

Please send all applications through to our careers email