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Financial Regulation Expert
2 weeks ago
The Compliance Specialist is a vital member of a Risk and Compliance team, providing first-line compliance across regulatory obligations.
Responsibilities:
- Perform daily compliance reviews, assessments, and sign-offs for teams within Fund Services.
- Conduct compliance assessments on Member Operations incidents in accordance with the Incident Management and Breach Reporting policy.
- Support projects or initiatives to ensure compliance with relevant legislation, regulations, and Prudential Standards.
Qualifications:
- Pledge commitment to purposes and values.
- Minimum three years' experience in financial services compliance and knowledge of financial products and business processes.
- Experience with and understanding of financial services regulations.
- Strong knowledge of risk and compliance frameworks.
- Critical thinker with strong analytical and problem-solving skills.
- High level of personal integrity and ability to handle confidential matters professionally.
Benefits:
Ongoing learning, coaching, and training opportunities are available. Flexible working arrangements also exist. We champion safety, respect, inclusiveness, and diversity.