Senior Compliance Advisor

2 days ago

Sydney, New South Wales, Australia beBeeCompliance Full time $180,000 - $220,000

Compliance Opportunity:

We are seeking a proactive and reliable compliance professional to join our team in the 2nd Line of Defense (LoD). As a critical business-facing role, you will provide compliance support, advice, and sign-off to Consumer Wealth Distribution.

Your Key Responsibilities:

  • Support Bank Wealth Distribution and Analytics, Digital, and Marketing teams
  • Provide timely and accurate compliance advice regarding advertising and distributing consumer wealth products
  • Sign off periodic and ad-hoc materials adhering to regulatory guidelines
  • Conduct risk assessments to identify immediate and emerging risks and develop a framework for incident management and ongoing monitoring
  • Promote a forward-thinking approach to our Digital & Marketing Compliance Framework in line with regulatory changes
  • Perform targeted reviews of key risks and controls
  • Run workshops and compliance training to share learnings and best practice to both the Business and the Risk & Compliance teams
  • Lead the implementation of an effective compliance framework and operating model within Consumer Bank Compliance, contributing to the team's credibility

Skill Requirements:

  • 5 years of recent compliance, risk assurance, or legal experience in Financial Services (preferably in Wealth Management)
  • Degree qualified in Business, Finance, or Legal
  • A pragmatic operator who can thrive in a dynamic commercial environment
  • Strong project management and face-to-face stakeholder influencing skills
  • Understanding of relevant laws, regulations, and regulatory guides underpinning a Financial Advice business

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