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Senior Compliance Professional
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This role will report to the Head of Compliance and is an excellent opportunity to apply your previous experience while expanding your skillset in a regulated compliance environment across three different business areas.
You will have the opportunity to develop and support the enterprise-wide compliance calendar and act as a key communicator between different teams across the business.
- Key Responsibilities:
- Support different teams across the business with their compliance inquiries
- Work with all internal teams to ensure ongoing compliance with all regulatory requirements and international standards
- Continue the update of the compliance management plans, including regulatory changes, compliance policies, compliance plans, compliance training, and compliance monitoring
- Work closely with the Compliance Assurance Officer to monitor the control assurance testing plan
- Compile compliance reports and updates for the Head of Compliance and other stakeholders
- Conduct compliance assessments and review risk obligations
- Carry out periodic reviews of existing risk assessments
- Provide ongoing assistance in the delivery of the compliance and risk frameworks
- Manage the risk incident and remediation processes
- Work with senior leaders and business units to understand business drivers, concerns, and future expansion plans, and offer support to manage risk
- Maintain multiple policies and registers
- Review key policies and procedures where required, and support staff members in drafting policies and procedures
- Prepare and lodge regulatory filings
- Work with internal and external stakeholders and participate in business meetings as required
- Support team members with complex issues and share best practices
- Respond to ad-hoc queries and assist in project work as required
Requirements:
- A minimum of 5 years' experience in financial services and compliance, regulatory, or another control function
- Experience interacting directly with regulators is highly regarded
- Tertiary qualification in a relevant discipline, such as Law, Commerce, or Accounting
- Understanding of the financial services industry in the USA, Australia, and Canada, including knowledge of the relevant regulators, as well as current and proposed financial services regulatory and legislative requirements
- Strong analytical skills
- Excellent verbal and written communication skills with the ability to work collaboratively with other business areas
- Ability to multitask and prioritize
We Offer:
A challenging role with opportunities for growth and development in a dynamic and innovative compliance environment. As a Compliance Specialist, you will play a critical role in ensuring the organization's adherence to regulatory requirements and maintaining its reputation for integrity and excellence.
