Compliance Manager

3 weeks ago

Sydney, Australia ING Group Full time

Compliance Manager - Investigation and Breaches

We value your unique voice and perspective, which is why we're counting on you to help us become even better. Join ING Australia's **Conduct Compliance and Ethics team** as **Compliance Manager - Investigation and Breaches **and build an exceptional experience for yourself while making a difference in our customers' lives. You'll have the opportunity to shape the way they bank and empower them to stay ahead in both life and business.

Conduct Compliance & Ethics' (CCE) purpose is to manage risks arising from Unfair Customer Treatment, Conflicts of Interest, Market Conduct, Anti-Competitive Conduct, and Organisational Conduct and to help ING manage risks arising from our norms, attitudes and behaviours related to risk awareness, risk-taking and risk management. The role of Compliance Manager - CCE is instrumental in further enhancing and embedding the compliance risk management culture within ING.

In this role, you will provide SME advice, challenge, support, and/or undertake investigations and assessments, of potential breaches and serious complaints.

You will also support Compliance in pro-actively developing, managing, and maintaining a best practice compliance framework, and enhancing systems and processes to ensure that ING is compliant by desire and design.

To be successful you will have demonstrated capacity to investigate potential breaches of ASIC regulated legislation, interpret and assess compliance with applicable obligations; and prepare written assessments and recommendations to senior stakeholders regarding potential breaches, control gaps, and remediation action.

Ready to make an impact?

**What you'll do**
- Investigate potential breaches and serious complaints.
- Interpret and assess compliance with applicable obligations.
- Prepare written assessments and recommendations to senior stakeholders regarding potential breaches, control gaps, and remediation actions.
- Ensure all regulatory and business compliance reporting requirements are met.
- Work closely with the Senior Compliance Manager and other Compliance Managers to maintain and enhance Compliance's frameworks, policies, procedures and processes.
- Drive ING's efforts to identify, analyse, investigate, assess, remediate and report potential breaches of applicable laws, regulations, and mandatory standards. This includes the development and maintenance of appropriate tools and templates.
- Take a proactive stance in promoting and maintaining an effective and sustainable compliance culture throughout the organisation. Ad hoc project tasks as required.
- Champion a risk and compliance culture within the business

**What we're looking for**
- Experience working for either ASIC or APRA would be considered highly desirable with 5+ years of relevant experience in compliance or legal roles in the financial services industry.
- Solid understanding of Australian Consumer Law and the Corporations Act as they relate to retail banking.
- Ability to lead investigations and provide a high standard of written / verbal communication to senior leadership with sound analytical skills and the ability to make decisions, critically assess and determine appropriate action in time pressured environments.
- The ability to drive positive risk culture practices and experience of this in team leadership.
- Excellent understanding of operational risks and control frameworks in retail Banking with experience in investigations into non-compliance with financial sector legislation, specifically root cause analysis.
- Understanding of relevant consumer lending obligations including BCOP and Privacy and AML/CTF legislation with proven knowledge (or proven ability to acquire such knowledge) of legal, regulatory and industry code obligations as they relate to products and services offered by ING.
- Broad retail banking product knowledge (preferable).
- Ability to communicate with business stakeholders in a professional manner, build strong rapport, and assist the business embed compliance culture and practices as part of day-to-day business operations; using exceptional influencing skills and ability to ensure optimal outcomes are achieved whilst managing stakeholder expectations.
- Adaptive ability, with an analytical and pragmatic approach to solutions, and being able to work in a fast-paced environment.

**What's in it for you** ?
- Discounted ING Health Insurance
- An additional Rest Day to support your wellbeing
- An IMPACT day to volunteer on an approved sustainability activity

**About Us**

At ING, we want to make life simpler and more worthwhile - for everyone who banks with us, for the people who work with us, and the community at large, too.

When you come to work at ING, you're joining a team where individuality isn't just accepted, it's encouraged. We've built a culture that's fun, friendly and supportive - it's the kind of place where you can be yourself and make the most of whatever you have to offer.

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