Compliance Officer

5 months ago

North Sydney, Australia Shift Full time

**Company Description**:
At Shift, we’re business specialists dedicated to helping Australian SMEs take control of their cashflow, streamline trade terms and choose the right financial products.

We believe Australian businesses are the driving force behind our economy and are core to our communities. That’s why our business expertise, focus on relationships, and market-leading technology is at the core of everything we do.

Our unique approach to product innovation combined with our collaborative culture means you can build your career in a supportive environment. You’ll be joining a diverse team of over 250 people who are always looking to deliver better outcomes for Australian businesses.

In this role you will build and maintain compliance processes and operations. You will have the opportunity to develop effective regulatory & policy compliance procedures and processes. The role will also support the operational risk function.

This position requires experience in managing the compliance with regulatory obligations which may include AFSL, Privacy Policy, industry codes of practice and a general compliance program.

**What you'll do**:

- Work with General Counsel and Head of Risk & Compliance to understand compliance requirements.
- Implement compliance program aligned with the compliance requirements.
- Advise relevant process owners to implement compliant business processes. - Day-to-day management of our compliance system including the AFSL and general compliance plan, and compliance testing
- Assess business’s current practice and future initiatives to identify possible compliance risks.
- Review & assess regulatory change impact to business. Compliance Incidents, Issues and Actions
- Ensure compliance incidents are recorded and actioned appropriately.
- Provide advice in relation to compliance issues and incidents
- Follow up on compliance issues that require investigation.
- Prepare monthly compliance status report to key stakeholders.
- Run compliance governance meeting
- Train cross functional teams on compliance requirements

**Qualifications**:
A bachelor’s degree in commerce / business faculty / legal

Experience in other governance roles e.g. operational risk, audit, is an advantage

Familiar with general regulatory obligations in Australia e.g. privacy policy, corporate compliance.

Proven ability to work with multiple stakeholders to get the desired outcome. High attention to detail, strong documentation skills and good communication skills

Proven working experience (typically 3+ years) in compliance and/or governance roles preferably in financial service sectors.

**Additional Information**:

- Collaborative teams - a flat structure means everyone can learn from colleagues and senior leaders around the business.- Be involved - come together with all of your colleagues every 100 days to share the product and technology roadmap and business strategy.-
- Flexible working environment - we’re headquartered in North Sydney with state-based workplaces and offer a flexible work policy.-
- Family support - industry leading 26 weeks paid parental leave.-
- Varied workspaces - our office enables areas for collaboration, brainstorming and socialising as well as focus zones.-
- Range of benefits - supporting your physical, psychological and financial wellbeing.

  • 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

    5 months ago

    North Sydney, Australia Pepper Full time

    **Who We Are** At Pepper, we’re focused on helping people succeed. Whether that be buying a family home, dream car, developing professionally or growing their business. Pepper has grown to become one of Australia’s largest non-bank lenders and has been recognised as Australia’s Best Specialist lender over the last 9 years. **The Role** We are...

  • Compliance Officer

    5 months ago

    North Sydney, Australia Pepper Financial Services Group Full time

    The Role We are currently seeking a Compliance Officer to join the team on a 12-month contract. The purpose of the Compliance Officer role is to complete activities to ensure Pepper is compliant with relevant AML legislation in both Australia and New Zealand and assist with the execution and maintenance of compliance monitoring and reporting: Daily...

  • Compliance Officer

    2 months ago

    North Sydney, Australia Pepper Full time

    **Who We Are** At Pepper Money, we’re focused on helping people succeed. Whether that be buying a family home, dream car, developing professionally or growing their business. We’ve become one of the largest, most trusted and-award winning non-bank lenders in Australia and New Zealand. Over our 23 years, there’s a lot that we have been proud to achieve,...

  • Compliance Officer

    4 weeks ago

    North Sydney Council, Australia Pepper Financial Services Group Full time

    {"The Role": "We are seeking a Compliance Officer to ensure Pepper is compliant with relevant AML legislation in Australia and New Zealand. The role involves daily investigations on transaction monitoring alerts, drafting Suspicious Matter Reports, and reviewing PEP, Sanctions, and financial crime related screening alerts. The successful candidate will have...

  • 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...

  • Training Compliance Officer

    3 months ago

    North Sydney, Australia Ventia Pty Limited Full time

    Training Compliance Officer **Date**:29 Aug 2024**Location**:Sydney, NSW, AU, 2060**Company**:Ventia- Join one of Australia and New Zealand’s largest essential service providers - Genuine opportunity to drive the success of a newly awarded contract as well as your own career growth and progression. - Drive training compliance within a newly awarded...

  • 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

    1 month 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...

  • Building Compliance Officer

    4 weeks ago

    North Ryde, New South Wales, Australia City of Ryde Full time

    About the RoleWe are seeking a highly skilled and experienced Building Compliance Officer to join our team at City of Ryde. As a key member of our Building Compliance team, you will be responsible for ensuring compliance with building standards and legislation across the city for all forms of development and uses.Key ResponsibilitiesInvestigate and follow up...

  • 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 and Risk Officer

    4 weeks ago

    North Altona, Victoria, Australia Emmanuel College Full time

    Compliance and Risk Officer RoleWe are seeking a highly skilled Compliance and Risk Officer to join our team at Emmanuel College. As a key member of our staff, you will play a critical role in ensuring the College's compliance with relevant laws, regulations, and policies.Key Responsibilities:Assist the Executive Deputy Principal in ensuring the College's...

  • Compliance and Risk Officer

    3 weeks ago

    North Altona, Victoria, Australia Emmanuel College Full time

    Compliance and Risk Officer RoleWe are seeking a highly skilled Compliance and Risk Officer to join our team at Emmanuel College. This is a Category B position, working only during school terms.The successful candidate will provide assistance to the Executive Deputy Principal and be based at our St Paul's Campus. A key aspect of this role is to ensure the...