Compliance Specialist

3 days ago

Sydney, New South Wales, Australia beBeeRegulatory Full time $170,000 - $190,000
Job Title: Senior Manager, Regulatory Breach Reporting

Our organisation is seeking a highly skilled and experienced professional to lead our regulatory breach reporting function. This role plays a critical part in ensuring that our business operations are compliant with relevant regulatory requirements.

Key Responsibilities:

  • Provide expert compliance advice to ensure our business operates in accordance with its policies, procedures and regulatory obligations.
  • Lead, mentor and develop a team of regulatory breach reporting and compliance experts in the provision of expert compliance advisory services and support on compliance incidents and breach reporting.
  • Undertake compliance assessments of incidents to support regulatory breach assessment processes.
  • Presentation of compliance assessments to stakeholders and forums as required.
  • Assist in providing compliance advice, insights and trends to key stakeholders including boards and other forums in relation to incidents and breaches.
  • Preparation of reports to regulators in respect of investigations, breaches and responding to regulatory requests for information.
  • Lead governance of forums such as the Significant Incident Review Panel including preparation of supporting documentation, preparation of minutes and reporting to stakeholders.

Requirements:

  • Experienced compliance or legal professional with proven leadership exposure in regulatory compliance, incident and breach management within the financial services industry preferred.
  • Experience working in or providing services to a regulated financial services organisation, with a strong understanding of regulatory obligations in particular superannuation, investments, administration, advice and insurance broking and the ability to interpret and apply associated legislative requirements.
  • Ability to rapidly analyse and communicate complex matters in a commercially sensible way.
  • Ability to provide strategic advice to senior stakeholders on compliance incidents.
  • Excellent presentation, communication and negotiation skills.
  • Sound knowledge and understanding of Risk Management systems, frameworks and processes particularly in respect of incident and breach reporting.

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