Sales Compliance Leader

1 week ago

Melbourne, Victoria, Australia beBeeCompliance Full time $180,000 - $250,000

Job Title: Sales Compliance Leader

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About the Role:

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As a senior member of our Markets Operational Risk and Compliance team, you will lead the Compliance team with second-line responsibility for oversight of our Markets' Sales, Capital Markets, and Research business globally. You will be accountable for providing strong second-line advice and review and challenge of the Markets business.

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Your key accountabilities in this role will include:

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  • ", "
  • Providing accurate and ethical compliance advice on regulatory and conduct risk relating to public side sales and research activities, as well as private side capital markets activities.", "
  • Driving uplift in risk maturity levels through review and challenge and advice.", "
  • Providing strong leadership to the team and managing and developing a team of Compliance professionals in Australia and Singapore.", "
  • Being a leader and culture carrier for the ANZ Markets business and Institutional OR&C function by displaying and encouraging behaviours essential to the delivery of a strong risk culture.", "
  • Working with the Insto OR&C team and the Markets business on the integration and embedding of the ANZ I.AM Framework.", "
  • Engaging with regulators and industry bodies across jurisdictions, including Australia and Singapore, and managing regulatory submissions, investigations, and interactions.", "
  • Attending relevant business risk and governance forums for Markets, Sales, Capital Markets, and Research.", "
  • Providing strategic insights and advice relating to regulatory change and risk.", "
  • Developing and maintaining collaborative relationships with key internal stakeholders to drive a proactive, consistent, and coordinated approach to non-financial risk management in Markets.", "
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Requirements:

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To grow and be successful in this role, you will ideally bring the following:

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  • ", "
  • Extensive experience in Global Markets Compliance role.", "
  • Strong knowledge of regulatory and compliance requirements relating to public side sales and research business and private side Capital Markets activities.", "
  • Strong role model and culture carrier, including the ability to identify and execute training opportunities to improve the capability, productivity, and performance of self, Markets Compliance team, and Global Markets business.", "
  • Ability to build and maintain relationships and successfully influence change with senior business stakeholders.", "
  • Strong leadership experience with the ability to develop a highly engaged and motivated team and foster a healthy working culture.", "
  • Experience in working in complex, highly regulated organisations, ideally financial institutions.", "
  • Strong technical and industry networks (internal and external).", "
  • Very strong verbal and written communication skills.", "
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Benefits:

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From the moment you join us, you'll be doing meaningful work that will shape a world where people and communities thrive. We're a diverse bunch in different roles, different locations, doing different things. That's why we have a range of flexible working arrangements, so our people can 'make work, work for them'. We also provide a range of benefits including access to health and wellbeing services.

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Why Join Us?

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We offer a dynamic and inclusive workplace where you'll be valued, respected and inspired to contribute your best. Our customers are at the heart of everything we do and we strive to make their financial lives easier. So, if you're looking for a career where you can grow and thrive, come and join us.

"],

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