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 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 follow 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, regulatory, and intern

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