Compliance Aus

7 months ago

Sydney, Australia Natixis Corporate & Investment Banking Full time

Compliance Aus - VIE

That includes:

- Provide support to NAPL Head of Compliance, local and regional senior management, Natixis group entities and head office, on compliance related issues.
- Coordinate with Regional Compliance with respect to key projects and initiatives and ensure that local views and needs are addressed.
- Support the development of compliance strategy for onshore Natixis business units
- Act as Compliance Controller responsible for conducting Compliance second level control assessments for NAPL
- Ensure Control plans are executed in line with Head Office and Regional standards on a risk-based approach
- Support the annual Compliance Risk Assessment

**Position Description and key responsibilities**:

- Reporting locally to the Head of Compliance Australia and the Senior Country Manager/CEO Natixis Australia Limited.
- Manage on a day-to-day basis an effective local compliance programme, including all processes, policies and procedures required to ensure compliance with local laws and regulations, the appropriate standard of duties and conduct performed by NAPL executive officers and staff and prevent illegal and unfair practices.
- Support and advise business teams and other operational teams on regulatory and transactional issues and queries; serve as a direct point of contact for questions and issues related to regulations, reputation risk, and other compliance-related areas.
- Foster, in collaboration with staff, a culture of compliance that is embedded throughout NAPL.
- Interpret, assess, and implement new rules and regulations in coordination with regional APAC Compliance teams.
- Advise and coordinate with the global compliance team to ensure the bank's overall compliance program considers relevant local legislation and activities.
- Contribute to the annual Risk Control Self-Assessment based on the second level control results
- Execute local second line controls as determined in the annual Compliance Risk Assessment
- Analyze the process and the overall control framework in place to mitigate the compliance risk and identify any control weaknesses
- Assess the design and execution of existing controls in accordance with Bank standards and methodology to identify any weaknesses
- Track and verify the completion of corrective action plans agreed with stakeholders
- Provide regular updates of Control assessments to key stakeholders in APAC or in other relevant regions as required
- Contribute to the review and update of the Control Checklist list methodology documents
- Maintain a detailed and updated working knowledge of key regulators within APAC
- Maintain a detailed and updated working knowledge on the existing Compliance policies framework, Compliance incidents and any key regulatory development at group and regional level.

**Natixis Australia Pty Limited**

In collaboration with regional offices, ensure an effective compliance monitoring and reporting framework as part of the overall compliance program, including any related processes and procedures to ensure employees;
- Compliance with local laws and regulations. Take corrective action where required.
- Participate in the validation process for new products/processes/activities to ensure such new products/processes/activities comply with applicable regulations and internal rules.
- Act as the secondary point of contact with Australian regulators and develop and maintain cooperative and supportive working relationships with them; coordinate regulatory examinations and ensure timely and accurate responses to inquiries.
- Ensure employees are appropriately licensed and that registrations are maintained in accordance with regulatory requirements Manage the second level control framework in conjunction with regional and global compliance teams and address and
- up on potentially identified issues.
- In collaboration with regional office, ensure an appropriate Financial Crimes Program including:

- Know Your Customer
- Transaction monitoring and reporting
- Sanctions Screening
- Anti-bribery and corruption
- Help establish and roll out a comprehensive training program to ensure compliance with both international and local regulatory requirements.
- Coordinate with the international compliance team to roll out global training modules and ensure staff understanding and compliance with such.
- Report compliance issues to the Senior Country Manager and to the Regional Head of Compliance.
- Oversee and partner with the Compliance function of an affiliated M&A boutique in Australia & partner with compliance function of Natixis Investment Management in Australia (where appropriate).

**Major Accountabilities**

Strength
- Maintain a strong risk & conduct culture
- Ability to think differently and innovative
- Supportive of diverse and inclusive workplace

**Operational Governance**
- Adherence to Natixis polices and locally regulatory/compliance needs.
- C2 - Inter nal Natixis
- Complete mandatory training in line with legal, regulat

  • Compliance Specialist

    3 months ago

    Sydney, Australia Ria Full time

    Ria's compliance department is the best-in-class global anti-money laundering (AML) and anti-terrorist financing (ATF) compliance department. To this end, we are hiring a Compliance Specialist - Agent Oversight AU. This role requires domestic travel. - Lawyer, Economics or Business Administration Bachelor’s degree preferred. - Courses, certificate, or...

  • Compliance Aus

    7 months ago

    Sydney, Australia Natixis Corporate & Investment Banking Full time

    That includes: - Provide support to NAPL Head of Compliance, local and regional senior management, Natixis group entities and head office, on compliance related issues. - Coordinate with Regional Compliance with respect to key projects and initiatives and ensure that local views and needs are addressed. - Support the development of compliance strategy for...

  • Software Engineering Expert

    2 weeks ago

    Sydney, New South Wales, Australia Link Compliance Full time

    About Link ComplianceWe specialize in AI-powered echocardiography solutions, revolutionizing the way heart health is diagnosed and treated.Our software automates the interpretation of heart ultrasound images, providing real-time, accurate reports compatible with various ultrasound devices.This technology supports healthcare providers by streamlining...

  • IT Compliance Specialist

    3 weeks ago

    Sydney, New South Wales, Australia Pyramid Global Technologies Full time

    About the role: IT Compliance SpecialistPyramid Global Technologies is seeking an experienced IT Compliance Specialist to join our team in Sydney.The estimated salary for this position is AU$90,000 - AU$120,000 per year.Audit and compliance are key components of this role. You will be responsible for financial IT controls audit, ensuring alignment with APRA...

  • Snr Prog Mgr Risk

    6 months ago

    North Sydney, Australia Amazon Commercial Services Pty Ltd Full time

    At Amazon we are building a world class last mile operation, significantly complimented by Amazon Flex. Amazon Flex works directly with independent contractors – called delivery partners – to make deliveries to our customers. With Amazon Flex, individuals can now be their own boss delivering Amazon packages. Amazon Flex is powered by a mobile app that...

  • Risk and Compliance Professional

    4 weeks ago

    Sydney, New South Wales, Australia Anton Murray Consulting Full time

    About the RoleAnton Murray Consulting is seeking a seasoned Risk and Compliance Manager to join our team. As a key member of our organization, you will play a critical role in defining and embedding the 2nd Line of Defence, in accordance with our Risk Management Framework.ResponsibilitiesDevelop Strong Stakeholder Relationships: Collaborate with management...

  • Software Engineer

    1 month ago

    Sydney, Australia Link Compliance Full time

    Our client specializes in AI-powered echocardiography solutions.  Their software automates the interpretation of heart ultrasound images, providing real-time, accurate reports compatible with various ultrasound devices.  This technology supports healthcare providers by streamlining diagnosis, enabling efficient cardiac assessments, and improving access to...

  • Compliance Governance Specialist

    3 weeks ago

    Sydney, New South Wales, Australia TR3 Recruitment Full time

    At TR3 Recruitment, we are committed to finding exceptional talent for our clients. This role is no exception.We are seeking a Compliance Governance Specialist to join our client's team in Adelaide. As a specialist in risk and compliance efforts, you will be instrumental in ensuring adherence to regulatory standards and maintaining the organisation's...

  • Regulatory Compliance Specialist

    3 weeks ago

    Sydney, New South Wales, Australia Employsure Full time

    We are seeking an experienced Regulatory Compliance Specialist to join our team at Employsure in Australia. This is a fantastic opportunity for someone who wants to make a real impact on the business community.About the RoleThis Compliance Officer position plays a pivotal role in safeguarding our company's success by proactively mitigating risks. As a key...

  • Senior Compliance Professional

    4 weeks ago

    Sydney, New South Wales, Australia Saxo Bank Full time

    About SaxoSaxo Capital Markets (Australia) Ltd. is a licensed subsidiary of Saxo Bank, Denmark, offering access to global markets for local customers and serving as a gateway to APAC markets for global clients.Role OverviewWe are seeking a highly skilled Senior Compliance Professional to join our team in Sydney, Australia. As a key member of our compliance...

  • Compliance Specialist

    3 weeks ago

    Sydney, New South Wales, Australia Tideri Jobbörse Full time

    Are you looking for a challenging role in compliance?Company OverviewSociete Generale is a leading European financial services group with a strong presence in the Asia-Pacific region. With over 160 years of experience, we have established ourselves as a trusted partner for our clients.About This RoleWe are currently seeking an experienced Compliance...

  • Risk Management and Compliance Director

    4 weeks ago

    Sydney, New South Wales, Australia Dental Corporation Full time

    About the RoleAs a key member of our team, you will play a crucial role in ensuring that we operate in compliance with relevant laws, regulations, and internal policies. This includes overseeing and managing BVAC AU's assurance, reporting, and compliance requirements.Key Responsibilities:Develop and oversee the BVAC AU control assurance plan to maintain...

  • Compliance Specialist ..

    7 months ago

    Sydney, Australia Talent International Full time

    australia sydney permanent au$130000 - au$139000 per annum + + super + generous leave + more- 3 year initial fixed-term contract - Highly reputable Australian Higher Education company with incredible benefits - Must have operational compliance experience in high risk industries **About the Company** Our client is a highly reputable Australian Higher...

  • Compliance Officer

    4 months ago

    Sydney, Australia moomoo Full time

    Support the compliance program for Moomoo AU, ensuring adherence to relevant regulatory registrations and licensing requirements specific to the securities industry. - Assist in providing guidance on AML/CTF and Sanctions regulatory requirements to support the Money Laundering Reporting Officer (MLRO). - Participate in AML investigations and assist in the...

  • Compliance Officer

    6 months ago

    Sydney, Australia Talent International Full time

    australia sydney permanent up to au$420 per dayOne of our Government clients based in Macquarie Park (1 day a week) are looking for a Compliance Officer for a 12 month contract. This role is paying $420pd + super **Responsibilities include but not limited to**: - Support planned reviews of key compliance obligations and provide recommendations to...

  • Administrative Operations Coordinator

    4 weeks ago

    Sydney, New South Wales, Australia aus kitchen Full time

    About Aus KitchenAus Kitchen is a dynamic and forward-thinking organization dedicated to delivering exceptional kitchen solutions. As a key member of our team, you will play a pivotal role in ensuring the smooth operation of our showroom office.Job SummaryWe are seeking an experienced Administrative Operations Coordinator to join our team. This is a...

  • Safety and Compliance Manager

    4 weeks ago

    Sydney, New South Wales, Australia Gough Recruitment AU Full time

    Job Title: Safety and Compliance ManagerWe are seeking a highly skilled Safety and Compliance Manager to join our team at Gough Recruitment AU. This is an exciting opportunity for a motivated individual to work on high-end residential and industrial projects.About the CompanyGough Recruitment AU is a leading private builder/developer specialising in...

  • Head of Assurance, Reporting and Compliance

    7 months ago

    Sydney, Australia Dental Corporation Full time

    About the role Our Head of Assurance, Reporting, and Compliance role will be responsible for overseeing and ensuring that BUPA Villages and Aged Care (BVAC) Australia operates in compliance with relevant laws, regulations, and internal policies to help BVAC be the most trusted provider of residential aged care. In addition, you will be responsible for...

  • Compliance Advisor

    2 months ago

    Sydney Inner Suburbs, Australia Suncorp Group Full time

    Sydney/ Brisbane/ Melbourne based with hybrid work arrangements - Join our high performing risk team - 12 month secondment opportunity Suncorp Group firmly believe in contributing to a more resilient Australia. This means striving to enhance the skills of our people, building stronger relationships with customers, and leveraging the power of innovation and...

  • Chief Compliance Officer, Risk Management Specialist

    4 weeks ago

    Sydney, New South Wales, Australia Dental Corporation Full time

    About the RoleThe Chief Compliance Officer, Risk Management Specialist will be responsible for overseeing and ensuring that BVAC Australia operates in compliance with relevant laws, regulations, and internal policies.As a key member of the senior leadership team, you will be responsible for managing and supervising BVAC AU's assurance, reporting, and...