The job description
Replace the bracketed fields and keep the duties that match your actual workflow.
- Organisation
- [Organisation name]
- Location & work model
- [Location; onsite, hybrid or remote]
- Employment type & hours
- [Employment type, weekly hours and time-zone overlap]
- Remuneration
- [Confirmed pay range, currency, superannuation and any incentive terms]
- Reports to
- [Named manager; suggested position: Compliance manager or risk executive]
- Systems & access
- [Approved systems, records and access scope]
- Authority & supervision
- [Permitted tasks, decisions, reviewer and escalation route]
- Required qualifications
- [Employer-confirmed licences, registrations, training or accreditations]
About the organisation
[Describe the actual business, team and customers in two or three factual sentences.]
Role purpose
Maintain compliance processes, coordinate evidence-based monitoring and help the business resolve control gaps through clear ownership and follow-up.
Key responsibilities
- Maintain the approved compliance calendar, procedures and evidence register.
- Coordinate monitoring activities and document findings with source evidence.
- Refer interpretation questions to the authorised compliance decision owner.
- Track remediation actions and verify agreed closure evidence.
- Support staff guidance and controlled updates to procedures.
- Prepare management reports separating confirmed findings from open questions.
Essential capabilities
- Compliance or risk support experience in financial services.
- Clear written analysis and disciplined evidence management.
- Ability to coordinate actions across business owners.
- Sound judgement about confidentiality, uncertainty and specialist referral.
Useful experience
Compliance monitoring · Remediation tracking · Procedure management. Keep these desirable rather than essential unless the work requires them on day one.
Working relationships
Brokers, lending leaders, operations, complaint teams and advisers. Confirm the actual owners and handoff routes.
How to apply
[Application route, closing date, contact and any adjustment request process.]
We assess candidates against the role-relevant criteria and use a fictional work sample.
What good looks like.
Agree the pace, reviewer and measures with the person you hire.
Map current procedures, monitoring commitments and open actions.
Deliver consistent monitoring records and a current remediation register.
Verify an agreed improvement and update the relevant staff guidance.
Look for evidence of the work.
Use these prompts to understand the candidate's judgement, accuracy and communication.
- How would you report an apparent control gap before its regulatory significance has been assessed?
- Describe a relevant piece of work, the checks you used and what you did when the instructions or evidence were incomplete.
- How would you organise competing deadlines, record your decisions and escalate a risk to the next handoff?
A practical work sample
Review fictional procedure and monitoring records. Draft an evidence-based finding, clarification questions and a remediation tracking entry for specialist review.
Use fictional information and the same instructions for shortlisted applicants. Agree adjustments and timing beforehand. Score accuracy, reasoning, communication and appropriate escalation; this exercise should not produce live client work.
Before you post.
- Replace every bracketed field with the actual employer, working arrangement and pay terms.
- Choose the duties the role will really own; remove unrelated tasks and separate essential from trainable skills.
- Confirm the task authority, supervision, qualifications and access with the responsible employer or licensee.
- Check pay and conditions against the applicable employment requirements before advertising.
- Use the same role-relevant selection criteria and fictional work sample for shortlisted applicants; invite adjustment requests.
- Name the reviewer and agree realistic first-90-day outcomes before the person starts.
Credit authority and appointment
Confirm the actual activities and appointment arrangement with your licensee. ASIC explains that employee and contractor arrangements can differ; a job title does not settle the scope. ASIC guidance
Pay and advertised conditions
Use confirmed pay terms and check the applicable minimum entitlements before publishing the advertisement. Fair Work Ombudsman guidance
A clear hiring process
Confirm the employment arrangement, duties and working conditions as part of preparing the role. Fair Work Ombudsman guidance
Information and access
Agree how personal information will be handled and the records and systems the role may access. OAIC guidance