Overview
Compliance Officer Jobs in Sydney, New South Wales, Australia at Potentia Capital
Title: Compliance Officer
Company: Potentia Capital
Location: Sydney, New South Wales, Australia
About Potentia Capital
Potentia Capital is a leading technology-focused private equity firm investing in mid-market software and technology-enabled businesses across Australia, New Zealand and Japan. We manage capital on behalf of institutional and private investors globally and operate across a sophisticated multi-jurisdictional regulatory environment. Our focus is on partnering with exceptional management teams to build market-leading technology businesses and create long-term value for investors.
We are a lean, high-performance team that values initiative, intellectual rigour and accountability. Our culture rewards people who take ownership, think commercially and enjoy working closely with decision makers.
The Opportunity
We are seeking an experienced and commercially minded compliance professional to join the Potentia team on a part-time basis (3–4 days per week).
Reporting directly to the General Counsel, you will be responsible for maintaining and enhancing the firm’s compliance framework across Australia, New Zealand, Japan and other relevant jurisdictions. The role encompasses AFSL compliance, AML/CTF obligations, investor onboarding and KYC, SEC-related filings, FIRB approvals, governance and regulatory reporting.
This is a senior, hands-on position suited to someone who enjoys operating independently, exercising sound judgement and partnering with senior leadership. You will take ownership of a sophisticated compliance framework within a leading private equity platform, while maintaining the flexibility and balance that a part-time role provides.
The position offers exposure to fundraising, investment execution, portfolio management and cross-border transactions. There is also scope to support Potentia’s portfolio companies on governance and compliance initiatives, providing variety and broader commercial engagement beyond the fund level.
Key Responsibilities
- Maintain and enhance the firm’s compliance framework across all operating jurisdictions
- Oversee AFSL obligations, AML/CTF requirements, FATCA/CRS, offshore marketing rules and U.S. securities law considerations
- Monitor regulatory developments and assess implications for the firm, its funds and portfolio companies
- Oversee and coordinate U.S. regulatory filings including Form D, Blue Sky notices, Form ADV and related disclosures
- Oversee and coordinate FIRB applications associated with portfolio acquisitions and investment activity
- Oversee investor onboarding and ongoing KYC requirements; respond to institutional investor AML, compliance and operational due diligence questionnaires
- Maintain governance records, compliance registers and conflicts management processes
- Support regulatory aspects of fundraising activities and cross-border transactions
About You
- 8+ years’ experience in compliance, regulatory affairs, financial services law or a related discipline
- Experience within private equity, alternative asset management, funds management or institutional financial services is strongly preferred
- Legal qualifications are highly regarded
- Strong working knowledge of AFSL obligations, AML/CTF frameworks, SEC private placement requirements, FIRB processes and FATCA/CRS obligations
- Experience operating across multiple jurisdictions, particularly Australia, New Zealand, Asia and or the United States
- Self-directed and highly organised and capable of operating with minimal supervision
- Commercially minded with the ability to balance regulatory requirements with practical business outcomes
- Excellent judgment, integrity and attention to detail
- Comfortable engaging with senior stakeholders, regulators and professional advisers
Why Join Potentia
- A genuine part-time role with meaningful responsibility and senior-level engagement
- Ownership of the compliance function within a leading technology-focused private equity firm
- Work directly with the General Counsel in a firm where compliance is taken seriously at the highest level
- Direct exposure to fundraising, investment activity and cross-border transactions
- Flexibility and autonomy within a collaborative, high-performing team
- The opportunity to contribute beyond compliance through engagement with portfolio companies and strategic initiatives
To apply please submit your current CV via the link. Please note applicants must have a legal right to work in Australia and answer all of the prerequisite screening questions.
We celebrate diversity and strive to create an inclusive environment where all individuals feel valued and empowered. We encourage applications from candidates of all backgrounds, including those from underrepresented groups, to join our dynamic team.
To express interest or for a confidential conversation, please contact: [email protected]
