Regulatory Compliance Specialist

7 days ago

Sydney, New South Wales, Australia InterSystems Full time

Position Overview

The Compliance Officer is tasked with ensuring that the organization adheres to all relevant laws, regulations, and the InterSystems ethical standards. This position is crucial for overseeing compliance initiatives, performing audits, and probing potential compliance breaches. The Compliance Officer is instrumental in fostering a compliance framework that aligns with the organization's mission to effectively serve both internal and external stakeholders through transparent communication, teamwork, and proactive governance.

Key Responsibilities

  • Oversight and Enforcement:
    • Oversee the organization's compliance with established policies and procedures.
    • Conduct periodic audits to verify adherence to regulatory standards and the InterSystems ethical guidelines.
  • Investigation and Remediation:
    • Examine potential compliance infractions and propose corrective measures.
    • Document findings and collaborate with relevant departments to address issues.
  • Risk Evaluation:
    • Perform risk evaluations to pinpoint compliance vulnerabilities.
    • Formulate and execute strategies to alleviate identified risks.
  • Training and Engagement:
    • Create and implement compliance training initiatives for staff.
    • Encourage a culture of compliance and ethical conduct throughout the organization.
  • Policy Formulation and Execution:
    • Draft and revise compliance policies and procedures.
    • Ensure that compliance policies are effectively communicated and understood by all personnel.
  • Documentation and Reporting:
    • Compile and present compliance reports to management and regulatory bodies.
    • Maintain thorough records of compliance activities and investigations.
  • Regulatory Coordination:
    • Serve as a point of contact with regulatory agencies during audits and inspections.
    • Ensure prompt and accurate responses to regulatory inquiries.

Qualifications and Experience

  • 3-5 years of experience in a compliance role, ideally within the same sector.
  • Solid understanding of compliance laws and regulations.
  • Strong analytical and data management capabilities.
  • Excellent communication and reporting skills.
  • Familiarity with compliance software and tools.

Additional Skills

  • Ability to work autonomously and manage multiple priorities.
  • High ethical standards and integrity.
  • Commitment to staying informed about industry trends and regulatory updates.
  • Dedication to fostering a culture of compliance, collaboration, and continuous improvement.

Educational Background

A Bachelor's degree in business, finance, law, or a related discipline is required.

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