Compliance Officer

2 weeks 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

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