Banking/Insurance Operations

Compliance Manager


Over $100,000



Job Type


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]

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