Compliance Manager, Regulatory Compliance

6 months ago

Sydney, Australia Deutsche Bank Full time

**Details of the Division and Team**:
Deutsche Bank in Australia includes the following business groups operating in reliance on an Australian banking licence and Australian financial services licenses:

- Investment Banking (Global Markets, Corporate Finance and Research)
- Corporate Bank (Trade Finance & Lending, Cash Branch, Trust & Agency Services)
- DWS Asset Management

Deutsche Bank Compliance is responsible for:

- promoting, in partnership with the business, the Bank’s values and beliefs and a culture of Compliance
- advising on ethical conduct and identifying regulatory requirements and solutions
- safeguarding integrity and reputation

Compliance focuses on supporting and advising the Bank’s businesses to ensure their activity is carried out in a lawful and ethical way, in full compliance with its legal and regulatory obligations.

**What we will offer you**:
A healthy, engaged and well-supported workforce is better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That’s why we are committed to providing an environment with your development and wellbeing at its center.

**You can expect**:

- Competitive salary with superannuation paid over and above fixed pay
- Parental leave benefits including 16 weeks paid leave for both primary and secondary career and Childcare Assistance Payment
- A range of benefits including online employee discount program, annual flu vaccinations, discounted private health insurance, employee referral program
- Insurance cover for life, total disablement and salary continuance
- Matched giving and paid volunteer leave

**Your key responsibilities**:
The role includes management and oversight of the Bank’s local financial services licenses as well as obligations arising from Deutsche Bank’s activity as a foreign branch ADI regulated by APRA.
- providing timely guidance on all aspects of the regulatory environment (including developments in ASIC’s guidance and APRA’s standards) and industry best practice including adherence to regulatory obligations that impact the Bank and its related entities;
- Tracking, assessing and communicating/implementing regulatory changes on a dynamic basis;
- drafting and maintaining relevant Compliance policies and procedures, in particular those relating to licensing obligations, compliance with the Banking Executive Accountability regime (BEAR) and working towards the implementation of the Financial Accountability Regime (FAR)
- Undertaking assurance monitoring and reviews
- Contribute to ongoing assessment and improvement of governance frameworks

**Your skills and experience**:
Knowledge:

- This position requires an experienced and detail-oriented compliance specialist
- working knowledge and experience with Corporations Act requirements and obligations (including relevant ASIC Regulatory Guidelines), as this relates to the provision of financial services by Australian financial services licensees
- understanding of BEAR/FAR and the general prudential framework administered by APRA and ASIC

Essential Skills:

- proven problem solving and organisational skills including an ability to prioritise and work within and manage competing time demands
- willingness to expand knowledge and capabilities
- equipped to communicate verbally and in written form clearly and effectively on all matters with key stakeholders at all levels including senior management and externally
- exhibit good judgement in the escalation and prosecution of material matters

**Education**:

- tertiary qualification in commerce/law or related business discipline
- relevant post-graduate qualifications desirable
- demonstrable history of ongoing industry and professional development

**Experience**:

- minimum of 3 years’ experience within a comparative or similar role
- experience within a banking or regulatory environment an advantage; and a working knowledge of the key Australian banking and financial services regulations

**How we’ll support you**:

- Flexible working to assist you balance your personal priorities
- Coaching and support from experts in your team
- A culture of continuous learning to aid progression
- A range of flexible benefits that you can tailor to suit your needs
- Training and development to help you excel in your career

Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.

Visit Inside Deutsche Bank to discover more about the culture of Deutsche Bank including Diversity, Equity & Inclusion, Leadership, Learning, Future of Work and more besides.

  • Regulatory Compliance Manager

    4 months ago

    Sydney, Australia Xe Full time

    At Xe, we live currencies. We provide a comprehensive range of currency services and products, including our Currency Converter, Market Analysis, Currency Data API and quick, easy, secure Money Transfers for individuals and businesses. We leverage technology to deliver these services through our website, mobile app and by phone. Last year, we helped over 300...

  • Compliance, Regulatory Compliance, Associate, Sydney

    1 day ago

    Sydney, Australia Goldman Sachs Full time

    **GLOBAL COMPLIANCE** Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors...

  • Compliance Manager

    3 months ago

    Sydney, Australia BNP Paribas Full time

    **Description of the Department**: A central team of technical experts, the Compliance team provide specialised services and expertise on technical areas on Compliance topics, such as financial security, professional ethics, market integrity, protecting interests of clients, Group policy and local regulatory obligations. They work closely with the heads of...

  • Regulatory Compliance Manager

    6 months ago

    Sydney, Australia Wise Full time

    **Company Description** Since 2011, we’ve had a clear mission: money without borders. Built by and for people who live global lives, we’re the fairest, easiest way to manage your money across borders. We’re just at the beginning of our story and we’re growing at an incredible pace. We won’t stop until anyone, anywhere can send, spend and receive...

  • Manager, Regulatory Compliance

    8 months ago

    Sydney, Australia HSBC Full time

    -Job description **Some career choices have more impact than others.** At HSBC we exist with the purpose of Opening up a World of Opportunity. We use our unique expertise, capabilities, breadth and perspectives to provide opportunities for our customers and colleagues through global connectivity. We bring together the people, ideas and capital that nurture...

  • Regulatory and Compliance Advisor

    8 months ago

    Sydney, Australia Energy Locals Full time

    **Sydney or Melbourne**: Looking to join a team that’s small enough that your contribution is noticed, valued, and appreciated? Our work and partnerships in the renewable space have seen us recently awarded Finders Green Energy Retailer of the year for the second year in a row. We’ve also recently been named as one of Australia’s best electricity...

  • Regulatory Compliance Officer

    7 months ago

    Sydney, Australia Independent Reserve Full time

    Regulatory Compliance Officer We are looking for a talented Regulatory Compliance Officer to join our busy Sydney team. Reporting to the Chief Risk Officer, you will use your legal training and experience to manage the digital token listing and review process across the Group. You will also be assisting the Compliance teams in Singapore and Australia as...

  • Regulatory Affairs Compliance Associate

    3 days ago

    Sydney, Australia Healthcare Professionals Group Full time

    **Benefits** - Work for a leading Pharmaceutical company - Challenging Regulatory role with a collaborative team - Part time position - competitive salary package on offer + benefits **About the company** Our client is a global pharmaceutical company who is committed to improving and extending people's lives through medical science and digital...

  • Central & Regulatory Compliance, Associate

    1 month ago

    Sydney, Australia JPMorganChase Full time

    **JOB DESCRIPTION** Compliance, Conduct and Operational Risk (CCOR) form part of JPMorgan’s Risk Management and Compliance organization. We maintain oversight of the firm’s compliance, conduct and operational risk management activities and are responsible for the design and execution of a comprehensive Risk and Control framework. We are considered a...

  • Coordinator Compliance

    7 months ago

    Sydney, Australia Public Sector People Full time

    The Co-ordinator Compliance & Regulatory Services is responsible for the day-to-day supervision and coordination of the Compliance and Regulatory Services teams within Council, with a view to achieving Council’s Vision pertaining to regulation, compliance, and excellent customer service outcomes. - This is a permanent role - Joining Strathfield Council -...

  • Central & Regulatory Compliance, Associate

    3 months ago

    Sydney, Australia JPMorganChase Full time

    **JOB DESCRIPTION** Compliance, Conduct and Operational Risk (CCOR) form part of JPMorgan’s Risk Management and Compliance organization. We maintain oversight of the firm’s compliance, conduct and operational risk management activities and are responsible for the design and execution of a comprehensive Risk and Control framework. We are considered a...

  • Environmental Regulatory Compliance Specialist

    21 hours ago

    Sydney, New South Wales, Australia Australian Federal Government Full time

    Estimated Salary: AU$120,000 - AU$180,000 per annumJob SummaryThis is an exciting opportunity to join the Australian Federal Government as an Environmental Regulatory Compliance Specialist in the Domestic Aviation and Reform Division. The successful candidate will play a critical role in regulating environmental management at leased federal airports and...

  • Manager, Regulatory Compliance Advisory, Australia

    7 months ago

    Sydney, Australia HSBC Full time

    -Job description **Some career choices have more impact than others.** At HSBC we exist with the purpose of Opening up a World of Opportunity. We use our unique expertise, capabilities, breadth and perspectives to provide opportunities for our customers and colleagues through global connectivity. We bring together the people, ideas and capital that nurture...

  • Specialist, Regulatory Postmarket Compliance

    2 months ago

    Sydney, Australia ResMed Full time

    The primary role of the Regulatory Affairs function is to provide support and guidance with respect to regulatory environment, at all stages of the life cycle of ResMed's products. Key deliverables include adding value to business through ensuring compliance and delivery of optimal regulatory strategies for portfolio planning, active regulatory intelligence...

  • Specialist, Regulatory Postmarket Compliance

    2 months ago

    Sydney, Australia ResMed Full time

    The primary role of the Regulatory Affairs function is to provide support and guidance with respect to regulatory environment, at all stages of the life cycle of ResMed's products. Key deliverables include adding value to business through ensuring compliance and delivery of optimal regulatory strategies for portfolio planning, active regulatory intelligence...

  • Compliance Manager

    7 months ago

    Sydney, Australia Heinemann Full time

    The Compliance Manager is in charge of actively assisting Heinemann Australia to maintain compliance obligations, adhere to legal standards and in house policies. In this role, you will be in charge of developing a comprehensive compliance & safety management strategy and its implementation. Also to oversee the risk management framework that provides...

  • Compliance Manager

    7 months ago

    Sydney, Australia Ethos BeathChapman Full time

    **Job Details**: **Location** Sydney **Salary** $175,000 Package **Job Type** Permanent **Ref** BH-180372 **Contact** Matt Quinn- **Posted** about 9 hours ago - Compliance Manager - Superannuation - $175K package Our client, a distinguished entity in the wealth management industry, are recognised as a responsible investment leader, dedicated to...

  • Compliance Manager

    6 months ago

    Sydney, Australia Sunwoods Consulting Group Full time

    We are a leading financial service company at Sydney, specializing in providing comprehensive investment funding solutions. Our mission is to empower businesses and individuals by offering tailored investment opportunities that drive growth and financial stability. We are currently looking for a Compliance Manager to join our team. **Responsibilities**: -...

  • Compliance Manager, Regulatory Engagement

    7 months ago

    Sydney, Australia Allianz Australia Full time

    **CORPORATE COMPLIANCE MANAGER, REGULATORY ENGAGEMENT & INSIGHTS (MAX-TERM CONTRACT)| SECOND LINE COMPLIANCE | SYDNEY, NSW** At Allianz, we’re proud to be one of the world’s leading insurance and asset management brands, with a workforce as diverse as the world around us. We care about our customers, which is why we hire the very best people to further...

  • Manager, Compliance

    7 months ago

    Sydney, Australia CFS Full time

    Are you ready to be part of an organisation that values expertise, passion and diversity? At CFS we know that the foundation of our success lies in our exceptional people. We believe in celebrating individuality, have a passion for high performance and creating an environment where you can unleash your full potential. Our people enable us to make a...