Compliance Officer
3 weeks ago
Compliance Officer
Location: Sydney, Australia
Date Posted: Mar 30, 2023
**Description**
**About the Role**:
Coordinate and report on incidents, breaches and complaints. Develop and implement solutions with the business to improve the quality of service to our clients. Provide compliance reporting to clients. Coordinate internal audits and AML reporting.
**Responsibilities**:
The role duties and responsibilities will include but not limited to the following:
- Completion of annual due diligence questionnaires
- Co-ordination of supplier due diligence questionnaires
- Preparation of compliance letters for clients
- Reporting on complaints, incidents and breaches
- Investigations of incidents and working with the business to implement solutions
- Partner with the business to develop processes and procedures that improve the quality of service to our clients
- Assist with the development and implementation of compliance policies and procedures
- Drafting training material for compliance training
- Coordinate the training on processes and procedures for the teams
- Implement and conduct control testing of processes and procedures
- Coordinate and conduct internal audits
- Review legislative changes that affect Mainstream operations and develop compliance solutions that satisfy these changes
- Provide regular compliance reporting
- Stay current with regulatory and legislative changes and participate in industry groups
- Perform ongoing Anti Money Laundering (AML) monitoring obligations and reporting
- Co-ordinate completeness of regulatory records of transitions
- Other ad hoc responsibilities as required.
**Proven Experience & Qualifications**:
- Experience in funds services industry
- 1+ years’ experience in a AML or compliance role with funds knowledge
- Strong understanding of regulatory and legislative requirements essential
**Skills Required**:
- Ability to work well under pressure;
- High level attention to detail;
- Strong team player;
- Strong communication and analytical skills;
- An understanding and interest in financial markets
- Strong organisational skills;
- Strong communication skills both oral and written;
- Strong problem-solving skills;
- Ability to work independently;
- Ability to prioritise tasks;
- Knowledge of AML and AUSTRAC requirements
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