Risk and Compliance Specialist

We're seeking a Risk and Compliance Specialist to support regulatory compliance, assess and manage legal and operational risks, and provide clear, business-focused guidance within a dynamic financial services environment.

About Lonsec

Lonsec is one of Australia’s leading investment research and insights providers, trusted by financial advisers, fund managers, and super funds for our deep expertise, forward-thinking analysis, and powerful portfolio tools. Our mission is to drive smarter investment decisions and support the growth of the financial industry through cutting-edge research and actionable insights. We are entering an exciting new chapter as a standalone Research and Ratings provider which has resulted in the creation of this new Risk & Compliance Specialist role.

About The Role:

The Risk & Compliance Specialist is an operationally focussed role, responsible for the ownership, enhancement, and delivery of the risk and compliance frameworks for Lonsec Research. The position can be based in Melbourne or Sydney and will lead initiatives to monitor, assess, and continuously improve the organisation’s compliance posture and risk management practices, while also providing subject matter expertise, practical guidance, and regulatory insights to stakeholders across all levels of the business.

Responsibilities:

• Develop, maintain, and enhance risk and compliance frameworks in line with AFSL obligations and business objectives.
• Monitor regulatory changes, advise on impacts, and ensure compliance with internal policies and legal requirements.
• Lead incident, breach, complaint, and whistleblowing investigations, ensuring timely reporting and resolution.
• Maintain and oversee key Compliance and Risk Registers, including obligations, conflicts, and control documentation.
• Conduct risk assessments for new projects, perform annual controls testing, and support continuous process improvement.
• Lead regulatory engagement and reporting, including AFSL amendments, training, and professional development compliance.
Prepare and deliver risk and compliance reports to governance bodies and facilitate organisation-wide compliance training

About You:

• Tertiary qualifications in Risk Management, Finance, Law or related discipline or equivalent comparable work experience
• 5+ year’s experience in a risk and compliance role within financial services, with an AFSL environment
• Demonstrated ability to operate in a stand-alone capacity, providing solution-focussed, practical operational risk and compliance advice
• Comfort in liaising with external regulatory bodies (e.g. ASIC)
• In-depth knowledge of Australian regulatory frameworks including ASIC regulatory guides, AFSL obligations, and broader risk management principles
Excellent interpersonal and communication skills to manage internal client relationships and external service providers

What we offer

• Ongoing flexible working arrangements
• Family friendly work-life balance
• Paid parental leave
• Volunteer and Study leave
• Genuinely open and supportive culture with an approachable executive team
• Ongoing training and professional development
• Wellness program (including an annual wellness reimbursement for all staff to put towards health and wellness-related activities)
Social and charity events

Lonsec is an equal opportunity employer and are committed to creating an inclusive environment for all employees. We encourage applications from people belonging to groups underrepresented in Financial Services.

Working rights - You must hold current permanent and full-time working rights in Australia eg. Citizen or Permanent Resident