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Compliance Officer

1 month ago

Sydney, New South Wales, Australia InterSystems Full time
Job Summary

The Compliance Officer plays a critical role in ensuring InterSystems' adherence to all applicable laws, regulations, and the company's code of ethical conduct. This position involves monitoring compliance activities, conducting audits, and investigating potential compliance violations.

Key Responsibilities
  • Monitoring and Enforcement:
    • Monitor the organization's compliance with policies and procedures.
    • Conduct regular audits to ensure compliance with regulatory requirements and the InterSystems code of ethical conduct.
  • Investigation and Resolution:
    • Investigate potential compliance violations and recommend corrective actions.
    • Report findings and work with relevant departments to resolve issues.
  • Risk Assessment:
    • Conduct risk assessments to identify compliance risks and vulnerabilities.
    • Develop and implement strategies to mitigate identified risks.
  • Training and Awareness:
    • Develop and deliver compliance training programs to employees.
    • Promote a culture of compliance and ethical behavior within the organization.
  • Policy Development and Implementation:
    • Develop and update compliance policies and procedures.
    • Ensure that compliance policies are communicated to and understood by all employees.
  • Reporting and Documentation:
    • Prepare and submit compliance reports to management and regulatory authorities.
    • Maintain accurate records of compliance activities and investigations.
  • Regulatory Liaison:
    • Act as a liaison with regulatory authorities during audits and inspections.
    • Ensure timely and accurate responses to regulatory inquiries.
Requirements
  • 3-5 years of experience in a compliance role, preferably in the same industry.
  • Good understanding of compliance laws and regulations.
  • Strong analytical and data management skills.
  • Effective communication and reporting skills.
  • Proficiency in compliance software and tools.
Additional Requirements
  • Ability to work independently and manage multiple tasks.
  • Strong ethical standards and integrity.
  • Willingness to stay updated on industry trends and regulatory changes.
  • Commitment to promoting a culture of compliance, collaboration, and continuous improvement in practices.
Education and Training

Bachelor's degree in business, finance, law, or a related field.