Compliance Officer

5 months ago

Sydney, Australia DLL Full time

**Our Organization**
DLL is not your average financial services company. In fact, we are above average in almost every way. With an employee engagement score of 85% (compared to the 72% industry average), it sure seems like we are doing something right. And, while most companies survive fewer than 20 years, 2019 marked our 50th.

We collaborate with manufacturers, suppliers, and businesses in more than 30 countries to enable the acquisition of equipment, technology and software that companies need to contribute meaningfully to their communities. We believe in partnering with our customers to develop innovative and sustainable financial solutions that deliver meaningful value to the world.

At DLL, we are committed to making sure that all people, regardless of their race, ethnicity, gender, sexual orientation, age, religion, physical characteristics, or mental abilities, feel welcomed and encouraged to be their authentic selves. We strive to create an inclusive environment that is reflective of the communities in which we operate. Come see what all the excitement is about
**Your Function**:
As a **Compliance Officer **you will be responsible to support the wider business by way of providing guidance on compliance related matters with thorough knowledge of both the business processes, internal policies and procedures and relevant laws and regulations.***

Find out more here about how you can unleash your full potential at DLL.

**Day to day**
- Contribute to the development of quality, streamlined, and fit for purpose compliance strategies and policies, training and information programs, plans, policies, and resources.
- Co-ordinate with the independent tester in measuring and identifying risks via Risk Control Framework (RCF) and ensure action plans are in place on all findings (if any).
- Planning, executing and reporting on Second Line Monitoring (SLM) key control testing.
- Assist in reviewing new and amended policies and standards.
- Provide compliance opinions on all Special Categories of higher risk customers as required.
- Contribute to the preparation of Compliance Program and Annual Report for the regulators.
- Contribute to the preparation of global compliance assessments/reporting for global stakeholders.
- Support of the Regional/Local Compliance Officer and Group Financial Crime Compliance (Group FCC) oversight over AML, CTF and sanction risk (governance, management information (MI), risk assessment), managing regulatory remediation programs and driving required business changes needs.
- Assist the Local Compliance Officer in various Conduct related matters, including manage conduct incident reporting tool based on internal requirements.
- Facilitate in resolving complaints received from external parties (customers/business partners). Ensure that any unresolved complaints are addressed, and that the complaints register is kept up to date.
- Provide privacy advice to first line Privacy Co-Ordinator on all privacy related incidents or queries.
- Responsible to inform external fraudulent transactions to Group FCC, including preparation of fraud investigation form.
- Assist in filling Suspicious Matter Report (SMR) to local regulator(s).

**Your Profile**:

- Relevant tertiary qualifications in Business or Finance.
- 1 - 3 years’ experience in Compliance or AML (or Compliance-related fields) with demonstrable experience in Customer Due Diligence, Financial Economic Crime, AML and/or sanctions, and/or incident management and remediation processes.
- 2 - 5 years’ experience in the banking/financial industry.
- Demonstrate understanding of relevant laws and regulations within financial services.
- Basic commercial understanding of vendor finance products, processes, customers and distribution channels.
- Ability to work without supervision and to lead projects following tight deadlines.
- Ability to develop a good teamwork ethic, reporting and presenting assessments and evaluations of project data in a variety of formats, communicating orally and in writing in a clear, succinct and lucid fashion, showing a solid understanding of compliance and risk management issues relating to product and service within DLL ANZ.
- Customer focus, complex problem solving, partnership and proactivity.
- Good data analysis skills.

**We Offer**:

- Two working days per year volunteering for a local charity.
- Health and Wellness program including healthy food, free health checks, fun health & vitality activities.
- Flexible hours with possibility to work from home
- Career development opportunities: online learning, member development programs.
- Click this link for an overview of all the benefits in your region.

**Additional Information**:
DLL’s wellbeing ambition is to educate, equip, and empower members to build connections, manage their mental, emotional, physical, and financial wellness, and maintain balance between work and the other priorities that make up their lives.

Our four wellbeing categories are as

  • Junior Compliance Consultant

    5 months ago

    North Sydney, Australia VET Quality and Compliance Full time

    **Position Description** **Company Name**: VET Quality and Compliance **Job Title**: Junior Compliance Consultant **Job Industry**: Vocational Education and Training **Employment Type**: Contract/Part-Time/Casual **Job Location**:100 Walker St, North Sydney, NSW, 2060. **Summary**: This job would be suitable for a university student. **Key...

  • Compliance Officer

    7 months ago

    Sydney, Australia The Star Entertainment Group Full time

    **Compliance Officer** - **Our compliance team is growing at The Star!** We are looking for Compliance Officers to join our team in Sydney!

  • Compliance Officer

    5 months ago

    Sydney, Australia Hannover Re Full time

    Compliance Officer **Compliance Officer** **Department**:Risk & Compliance **Employment Type**:Contract / Temp **Location**:Sydney **Reporting To**:Chief Risk and Compliance Officer **Description** **We are somewhat different** Hannover Re was founded as an in-house reinsurer and started small, a new kid on the block, proving ourselves every day for...

  • Compliance Officer

    5 months ago

    Sydney, Australia Independent Reserve Full time

    Compliance Officer We are seeking a professional and detail-oriented Compliance Officer to join our dynamic team in Sydney. In this crucial role, you will be responsible for supporting the Compliance Manager and CRO to ensure that our company adheres to legal standards and in-house policies. Your key responsibilities will include: - Conducting thorough...

  • Compliance Officer

    4 weeks ago

    Sydney, New South Wales, Australia Real Time Full time

    Compliance Officer RoleWe are seeking a highly skilled Compliance Officer to join our team and lead APAC operations. As a key member of our organization, you will play a pivotal role in ensuring our adherence to all applicable laws, regulations, and ethical standards.Key ResponsibilitiesMonitor compliance activities, conduct audits, and investigate potential...

  • Compliance Officer

    2 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

    5 months ago

    Sydney, Australia Independent Reserve Full time

    We are seeking a professional and detail-oriented Compliance Officer to join our dynamic team in Sydney. In this crucial role, you will be responsible for supporting the Compliance Manager and CRO to ensure that our company adheres to legal standards and in-house policies.Your key responsibilities will include:Conducting thorough internal control reviews of...

  • Compliance Officer

    4 weeks ago

    Sydney, New South Wales, Australia Real Time Full time

    Compliance Officer RoleWe are seeking a highly skilled Compliance Officer to join our team and lead APAC operations. As a key member of our organization, you will play a pivotal role in ensuring our adherence to all applicable laws, regulations, and ethical standards.Key Responsibilities:Monitor compliance activities, conduct audits, and investigate...

  • Compliance Officer

    1 month ago

    Sydney, New South Wales, Australia Real Time Full time

    Compliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team and lead APAC operations. As a key member of our organization, you will play a pivotal role in ensuring our adherence to all applicable laws, regulations, and ethical standards.Key Responsibilities:Monitor compliance activities, conduct audits, and...

  • Compliance Officer

    3 weeks ago

    Sydney, New South Wales, Australia TR3 Recruitment Full time

    Job SummaryWe are seeking a highly skilled Compliance Officer to join our team at TR3 Recruitment. As a Compliance Officer, you will be responsible for ensuring that our client's not-for-profit organisation adheres to regulatory standards and maintains high standards of compliance and governance.Key ResponsibilitiesWork collaboratively with the...

  • Compliance Officer

    3 months ago

    Sydney, Australia Hudson Australia Full time

    Hudson has partnered with a large Federal Government agency and is seeking for Compliance Officers with strong auditing, investigative and customer service skills. **About the Team**: The Levies Compliance team manages an annual risk-based compliance program aimed at encouraging levy payers to voluntarily meet legislative requirements. This program ensures...

  • Compliance Officer

    3 weeks ago

    Sydney, Australia TMGM Full time

    TMGM stands at the forefront of online trading and investment services, proudly serving as Chelsea FC's Official Regional Online Forex and Trading Partner in Asia Pacific. With a global presence and offices spanning three continents, TMGM has earned its reputation as a trusted CFD trading provider. We embody excellence through a commitment to regulatory...

  • Compliance Officer

    3 months ago

    Sydney, Australia InterSystems Full time

    Job SummaryThe Compliance Officer is responsible for supporting the organization's compliance with all applicable laws, regulations, and the InterSystems code of ethical conduct. This role involves monitoring compliance activities, conducting audits, and investigating potential compliance violations. The Compliance Officer plays a key role in promoting a...

  • Compliance Officer

    5 months ago

    Sydney, Australia Charterhouse Full time

    **$70,000-$80,000 Salary Plus Super**: - **CBD Location**: - **Well known reputable company** **Position Overview**: Join a national leading Law Firm as a compliance officer. The Firm consistently prides itself on ensuring positive and successful partnerships for both clients and employees. They are driven by success and encourage a collaborative and...

  • Compliance Officer

    5 months ago

    Sydney, Australia Charterhouse Full time

    **$70,000-$80,000 Salary Plus Super**: - **CBD Location**: - **Well known reputable company**: - **Hybrid flexibility** **Position Overview**: Join a national leading Law Firm as a compliance officer. The Firm consistently prides itself on ensuring positive and successful partnerships for both clients and employees. They are driven by success and...

  • Compliance Officer

    7 months ago

    Sydney, Australia TMGM Full time

    **Responsibilities**: - Serve as the primary point of contact for all compliance-related inquiries and issues pertaining to the licenses under management. - Support internal and external audits, as well as regulatory reviews, by providing necessary documentation and information. - Assist in the establishment of local bank accounts for licensed entities. -...

  • Compliance Officer

    1 week ago

    Sydney, New South Wales, Australia Société Générale Assurances Full time

    Job SummaryThe Compliance Officer will support the Australia Compliance team with day-to-day Compliance tasks as well as other project-based activities. This includes tracking interactions with Australia regulators, responding to inquiries, and executing the implementation of supporting documentation to meet regulatory requirements.Key...

  • Compliance Officer

    5 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...

  • Compliance Officer

    3 weeks ago

    Sydney, New South Wales, Australia Profusion Group Full time

    About the Role:We are seeking a highly skilled Compliance Officer to join our team at Profusion Group. As a key member of our Risk and Compliance function, you will be responsible for developing and maintaining obligations registers and controls testing frameworks.Key Responsibilities:Develop and maintain obligations registers and controls testing...

  • Compliance Officer

    4 weeks ago

    Sydney, New South Wales, Australia Linfox Pty Ltd Full time

    Compliance Manager RoleLinfox Pty Ltd is seeking a Compliance Manager to partner with our operational sites across NSW & VIC, ensuring compliance standards are met within our operations.Key Responsibilities:Ensure all Intermodal sites in NSW/VIC operate in compliance with NHVR & HVNL standards, including NHVAS Maintenance, NHVAS Mass, and NHVAS Fatigue...