Compliance Officer
Cache
Date: 16 hours ago
City: Sydney, New South Wales
Contract type: Full time
About Cache
Cache powers investment products at scale.
Cache is Australia’s most innovative fund services company, providing Responsible Entity, Fund Management, Fund Administration, Fund Accounting and Fund Compliance services to help our clients launch and operate retail managed investment products in Australia.
Cache operates an innovative digital investment platform that enables our clients to embed their products into mobile applications, websites and platforms. We help companies put new and complex products into market quickly, legally and cost efficiently.
Our clients range from Fund Managers (who seek traditional fund services) to innovative platform operators (who also require technological infrastructure to support their digital interfaces).
We’re a young and fast-growing company with a big vision. We’re in need of passionate and capable problem solvers to take our business to the next level – we’re building an institution that will support corporates at the big end of town.
We are impressed by people who thrive outside their comfort zone and are happy to solve new problems, both individually and as a team. We’ll do everything we can to ensure you’re supported in the team and can explore your own growth potential.
About The Role
Key Responsibilities
Day-to-Day Compliance Operations
Partner closely with Legal, Fund Operations, Fund Accounting, Technology and Customer Success teams to embed compliance into business operations
The role will also be required to liaise across our operational teams to ensure that our obligations are met including:
The ideal candidate will have:
Back yourself - This is hard, and we make decisions based on incomplete information. They’re not bad decisions just because they didn’t turn out how we expected. Back yourself in times of ambiguity.
No one left behind - We’re accountable for each other’s success. We ask for support when needed and support each other when asked. We keep each other accountable and accept accountability from others. It’s our responsibility to ensure that someone else is keeping us accountable.
Embrace the conflict of ideas - The best decisions are made through the rigorous conflict of ideas, not the conflict of personalities. Play the ball, not the person.
Full disclosure, even when it hurts - We disclose issues publicly and fix problems in daylight. We tell clients about problems before they know about them. We tell the regulator about things we would rather it didn’t know. We tell our mates quickly and fully when we make mistakes. We tell investors the good news and the bad. People will know they can trust us, not because we are perfect, but because they have seen how we behave when we are not.
Act in good faith - We’re human beings who experience the full range of emotion. We share our goals, fears and desires with our mates - and we ask about theirs. When we’re upset, we talk about it and we articulate what we need to feel whole again. We are genuine and trust that our mates are genuine. We’re not intentionally offensive or offended. Tips: Provide a summary of the role, what success in the position looks like, and how this role fits into the organization overall.
Cache powers investment products at scale.
Cache is Australia’s most innovative fund services company, providing Responsible Entity, Fund Management, Fund Administration, Fund Accounting and Fund Compliance services to help our clients launch and operate retail managed investment products in Australia.
Cache operates an innovative digital investment platform that enables our clients to embed their products into mobile applications, websites and platforms. We help companies put new and complex products into market quickly, legally and cost efficiently.
Our clients range from Fund Managers (who seek traditional fund services) to innovative platform operators (who also require technological infrastructure to support their digital interfaces).
We’re a young and fast-growing company with a big vision. We’re in need of passionate and capable problem solvers to take our business to the next level – we’re building an institution that will support corporates at the big end of town.
We are impressed by people who thrive outside their comfort zone and are happy to solve new problems, both individually and as a team. We’ll do everything we can to ensure you’re supported in the team and can explore your own growth potential.
About The Role
Key Responsibilities
Day-to-Day Compliance Operations
- Maintain and monitor AFSL compliance
- Manage compliance plan controls, internal audits, and regulatory attestations
- Lead incident management, breach reporting and complaints handling
- Oversee Corporate Authorised Representatives (CARs)
- Prepare and present risk and compliance reporting for Board and Committees
- Coordinate ASIC notifications and regulatory interactions
- Enhance and maintain compliance and risk frameworks
- Consolidate and maintain compliance policies across group entities
- Provide advice on legal, governance and operational compliance matters
Partner closely with Legal, Fund Operations, Fund Accounting, Technology and Customer Success teams to embed compliance into business operations
The role will also be required to liaise across our operational teams to ensure that our obligations are met including:
- Legal
- Responsible Entity Services
- Fund Operations (ie Funds Management & Administration)
- Fund Accounting
- Customer Success
- Technology
The ideal candidate will have:
- compliance experience within the Managed Funds industry (such as at a company that provides RE, admin or related services to Managed Funds);
- comprehensive understanding of the needs and requirements of:
- retail scheme compliance including compliance plans and audit.
- AFSL compliance as an investment manager and trustee for retail / registered schemes.
- Excellent CBD location
- Flexible working opportunities
- Strong company culture backing independent decision making
- Salary + equity compensation
Back yourself - This is hard, and we make decisions based on incomplete information. They’re not bad decisions just because they didn’t turn out how we expected. Back yourself in times of ambiguity.
No one left behind - We’re accountable for each other’s success. We ask for support when needed and support each other when asked. We keep each other accountable and accept accountability from others. It’s our responsibility to ensure that someone else is keeping us accountable.
Embrace the conflict of ideas - The best decisions are made through the rigorous conflict of ideas, not the conflict of personalities. Play the ball, not the person.
Full disclosure, even when it hurts - We disclose issues publicly and fix problems in daylight. We tell clients about problems before they know about them. We tell the regulator about things we would rather it didn’t know. We tell our mates quickly and fully when we make mistakes. We tell investors the good news and the bad. People will know they can trust us, not because we are perfect, but because they have seen how we behave when we are not.
Act in good faith - We’re human beings who experience the full range of emotion. We share our goals, fears and desires with our mates - and we ask about theirs. When we’re upset, we talk about it and we articulate what we need to feel whole again. We are genuine and trust that our mates are genuine. We’re not intentionally offensive or offended. Tips: Provide a summary of the role, what success in the position looks like, and how this role fits into the organization overall.
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