Compliance and Risk Associate

7 days ago

Sydney, Australia Anton Murray Consulting Full time

Sydney- Ancillary Areas- Contract or TemporaryOur client is a leading financial services firm seeking an experienced Compliance Associate to provide risk oversight and control functions and report compliance related risk.

The position maps out, assesses and reports Compliance related risk or risk areas (risk oversight) and maintains an efficient risk management system.

**Key responsibilities**:

- Team development: optimises performance of the policy and regulatory office team through working together. Understands how different individuals within the team bring different skills and approaches
- Subject matter exert in Group compliance permanent control polices
- Permanent control: performs compliance risk mapping and management (eg. AML / CFT risk map, compliance plan risk mapping, assisting operational risk and control with compliance function risk map etc)
- Ensures the effectiveness of the compliance permanent control function, notably though carrying out on-site and off-site controls
- Identifies required evolutions of the existing control system and coordinates the creation of new controls, as needed (in cooperation with Compliance - Policy and Regulatory Office)
- Monitors the implementation of all compliance actions and compliance related recommendations issued by regulators, internal or external auditors
- Performs monitoring and follow-up of open compulsory training courses, issuing reminders where required (provided not in conflict with level 2 testing)
- Coordinate and manage all internal and external audit missions related to compliance topics

**Key qualifications and experience required**:

- Degree qualified in Business, Law or Commerce
- Technically specific qualifications or evidence of ongoing development for area of specialisation eg: Compliance Management
- Post graduate qualifications in law beneficial
- Sound knowledge of risk principles
- Good understanding of compliance principles and local regulatory and market requirements (ASIC, AUSTRAC, APRA, ASX, FMA, FAA), as well as industry association initiatives

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