Description

About Us
Capital Guard is an ASIC-regulated financial services firm specializing in investment advisory, portfolio management, and fixed-income solutions. We operate under AFSL licensing, ensuring strict compliance, transparency, and investor protection across all operations.

 
Role Overview
We are seeking a hands-on Compliance Manager who will take ownership of the compliance function.

This is a leadership role, not just monitoring — you will be responsible for building, implementing, and continuously improving compliance frameworks, policies, and procedures in a growing business environment.

Key Responsibilities
Develop, enhance, and implement compliance policies, frameworks, and procedures
Ensure full compliance with AFSL / ASIC regulations and financial services laws
Establish and oversee risk management and internal control systems
Work closely with onboarding, operations, and advisory teams to ensure compliant client processes
Design and implement client onboarding (KYC / AML / CTF) procedures
Conduct internal audits, compliance reviews, and monitoring programs
Provide training and guidance to internal teams on compliance requirements
Manage regulatory reporting and liaise with external regulators and auditors
Promote and maintain a strong compliance culture across the organization
What We’re Looking For
Strong experience in financial services compliance (mandatory)
Experience with AFSL / ASIC regulations (highly preferred)
Demonstrated experience in developing and implementing compliance policies and procedures (not solely monitoring or reviewing)
Hands-on, proactive, and able to take ownership
Experience working with client onboarding / KYC / AML processes
Strong understanding of risk, controls, and governance
Excellent communication and stakeholder management skills
Why Join Us
Opportunity to build and lead the compliance function
Work closely with senior leadership
Be part of a growing international financial services business
High-impact role with real ownership