Regulatory Compliance Specialist

2 days ago

Sydney, New South Wales, Australia ClearCompany Full time

Job Summary

The Regulatory Compliance Manager will assist in ensuring ClearCompany's Compliance framework aligns with regulatory requirements and internal policies. This role will work closely with the Head of Compliance and AML Compliance Officer to manage the Compliance Assurance and Financial Crime Compliance programs, ensuring ClearCompany's products and services comply with regulatory requirements and conditions.

Key Responsibilities

  • Oversight of the Compliance Monitoring Program, ensuring assurance controls and processes are in compliance with current legal and regulatory conditions and aligning the business and its operations with future legal and regulatory requirements and conditions.
  • Reviewing reports from the Compliance Operations team, ensuring transaction monitoring alerts are reviewed in a timely manner, SMRs and other reports or filings are submitted within the required regulatory timeframe.
  • Providing support with organizing and executing on regulatory examinations and Independent Reviews.
  • Providing support with respect to responding to regulatory consumer complaints, bank requests for information, and due diligence questionnaires.
  • Supporting the review and update of policies, procedures, and compliance training. Coordinates with Compliance Operations team on implementation.
  • Supporting any other regulatory and compliance matters, as indicated by the Head of Compliance.
  • Providing support in undertaking trend analysis to determine key risk areas to the business from a compliance perspective.

Requirements

  • You will demonstrate a track record gained working within a similar role either within the FX, OTC derivatives, or payments industry, or within a highly regulated financial services organization for a minimum of 5 years.
  • Solid understanding and experience in relevant regulatory guides, regulatory portals, licensing, and regulatory reporting requirements.
  • Must have a detailed knowledge of legal, regulatory compliance, and operational risk issues.
  • Possess a strong ability to articulate and communicate risk and compliance issues across all levels and verticals within the business.
  • Demonstrate superior project management and time management skills necessary to produce work in accordance with professional standards, effortlessly pivot and manage multiple projects simultaneously.
  • Getting the right balance, achieving successful commercial outcomes from regulatory requirements and change.
  • Ability to assess complex activities to identify potential compliance and/or operational risks.
  • Familiar with the product development lifecycle, providing regulatory guidance and conducting compliance risk assessments (desirable).
  • Experience handling internal and external dispute resolution processes, including communications with regulatory bodies (desirable).
  • Have strong technical aptitude and ability to discuss detailed technical requirements with IT and product development teams.
  • Proven ability to build relationships and communicate clearly and concisely with stakeholders at all levels.

Benefits

  • Competitive market-based salary
  • Annual Discretionary Bonus
  • Superannuation
  • Healthcare
  • 20 days annual leave increasing with each year of service (capped at 25 days)
  • Paid day off for your Birthday
  • Discounted Employee Share Purchase Plan (ESPP)
  • Mental Health and Wellbeing support

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