Salary
Over $100,000
Location
Sydney
Job Type
Full-Time
Job Ref
Date Posted
Fri, 13th May 2022
A unique opportunity has arisen with a leading Financial Services firm to join their Enterprise Compliance team focusing on Investments.
An exciting opportunity has become available for an experienced Manager with a large local Financial Services Institution within their Enterprise Compliance team. The role will cover a full range of Compliance responsibilities including: the provision of advice, drafting policies and procedures, conducting training, undertaking reviews, engaging with regulators, assessing incidents and breaches, and conducting Compliance Risk assessments.
Key Responsibilities:
- Support the development, implementation and ongoing continuous improvements of the businesses enterprise compliance framework
- Proactive engagement with regulatory authorities and provide support to Lines 1 and 2 on regulator assessment programs
- Regulatory relations: Establish an enterprise-wide regulatory engagement policy and procedures; coordinate and manage the centralised repository of regulatory contacts and interactions
- Project management: for the identified projects act as a project lead, identifying applicable requirements and obligations, informing stakeholders and identifying deliverable’s
- Policy management: Coordinate the collation of the centralised policy repository; track policy update schedule and report on progress against plan; manage allocated EC policy updates or required new policies
Key Requirements:
- 5 years + experience in compliance, risk or audit role within Financial services
- Developed, implemented and continuously improved compliance framework
- Developed and enhanced compliance reviews, testing programs or audit programs
- Experience managing projects
- Dealt with domestic and international regulators
- Drafted reports for boards, committees and regulatory authorities
- Tertiary qualifications in related field
- Experience dealing with government bodies at a senior level
If you have the required experience and are interested in this role please click apply or contact Liam Sweeney via [email protected]