Compliance Analyst

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Base pay range

A$95,000.00/yr - A$103,000.00/yr

This role will report to the Head of Compliance and is a great opportunity to apply your previous experience while expanding your skillset in a regulated compliance environment across three different business areas. You will have the opportunity to develop and support the enterprise-wide compliance calendar and act as a key communicator between different teams across the business.

Some of your key responsibilities will include:

• Support different teams across the business with their compliance inquiries
• Work with all internal teams to ensure ongoing compliance with all regulatory requirements and international standards
• Continue the update of the compliance management plans, including regulatory changes, compliance policies, compliance plans, compliance training, and compliance monitoring
• Work closely with the Compliance Assurance Officer to monitor the control assurance testing plan
• Compile compliance reports and compliance updates for the Head of Compliance and other stakeholders
• Conduct compliance assessments and review risk obligations
• Conduct risk assessments where new risks arise or where new processes are introduced across the organisation
• Carry out periodic reviews of existing risk assessments
• Provide ongoing assistance in the delivery of the compliance and risk frameworks
• Manage the risk incident and remediation processes
• Work with senior leaders and business units to understand business drivers, concerns, and future expansion plans, and offer support to manage risk
• Maintain multiple policies and registers
• Review key policies and procedures where required, and support staff members in drafting policies and procedures
• Prepare and lodge regulatory filings
• Work with internal and external stakeholders and participate in business meetings as required
• Support team members with complex issues and share best practices
• Respond to ad-hoc queries and assist in project work as required
  
  

This role will report to the Head of Compliance and is a great opportunity to apply your previous experience while expanding your skillset in a regulated compliance environment across three different business areas. You will have the opportunity to develop and support the enterprise-wide compliance calendar and act as a key communicator between different teams across the business.

Some of your key responsibilities will include:

• Support different teams across the business with their compliance inquiries
• Work with all internal teams to ensure ongoing compliance with all regulatory requirements and international standards
• Continue the update of the compliance management plans, including regulatory changes, compliance policies, compliance plans, compliance training, and compliance monitoring
• Work closely with the Compliance Assurance Officer to monitor the control assurance testing plan
• Compile compliance reports and compliance updates for the Head of Compliance and other stakeholders
• Conduct compliance assessments and review risk obligations
• Conduct risk assessments where new risks arise or where new processes are introduced across the organisation
• Carry out periodic reviews of existing risk assessments
• Provide ongoing assistance in the delivery of the compliance and risk frameworks
• Manage the risk incident and remediation processes
• Work with senior leaders and business units to understand business drivers, concerns, and future expansion plans, and offer support to manage risk
• Maintain multiple policies and registers
• Review key policies and procedures where required, and support staff members in drafting policies and procedures
• Prepare and lodge regulatory filings
• Work with internal and external stakeholders and participate in business meetings as required
• Support team members with complex issues and share best practices
• Respond to ad-hoc queries and assist in project work as required
  
  

Requirements

Experience and skills we are looking for:

• At least 5 years' experience in financial services and compliance, regulatory, or another control function
• Experience interacting directly with regulators is highly regarded
• Tertiary qualification in a relevant discipline, such as Law, Commerce, or Accounting
• Understanding of the financial services industry in the USA, Australia, and Canada, including knowledge of the relevant regulators, as well as current and proposed financial services regulatory and legislative requirements
• Strong analytical skills
• Excellent verbal and written communication skills with theability to work collaboratively with other business areas
• Ability to multitask and priorities

Seniority level

• Seniority levelAssociate

Employment type

• Employment typeFull-time

Job function

• Job functionLegal
• IndustriesIT Services and IT Consulting

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