Compliance Analyst

2 weeks ago

Sydney, New South Wales, Australia Freelancer Full time

This role will report to the Head of Compliance and is a great opportunity to apply your previous experience while expanding your skillset in a regulated compliance environment across three different business areas. You will have the opportunity to develop and support the enterprise-wide compliance calendar and act as a key communicator between different teams across the business.

Some of your key responsibilities will include:

  • Support different teams across the business with their compliance inquiries
  • Work with all internal teams to ensure ongoing compliance with all regulatory requirements and international standards
  • Continue the update of the compliance management plans, including regulatory changes, compliance policies, compliance plans, compliance training, and compliance monitoring
  • Work closely with the Compliance Assurance Officer to monitor the control assurance testing plan
  • Compile compliance reports and compliance updates for the Head of Compliance and other stakeholders
  • Conduct compliance assessments and review risk obligations
  • Conduct risk assessments where new risks arise or where new processes are introduced across the organisation
  • Carry out periodic reviews of existing risk assessments
  • Provide ongoing assistance in the delivery of the compliance and risk frameworks
  • Manage the risk incident and remediation processes
  • Work with senior leaders and business units to understand business drivers, concerns, and future expansion plans, and offer support to manage risk
  • Maintain multiple policies and registers
  • Review key policies and procedures where required, and support staff members in drafting policies and procedures
  • Prepare and lodge regulatory filings
  • Work with internal and external stakeholders and participate in business meetings as required
  • Support team members with complex issues and share best practices
  • Respond to ad-hoc queries and assist in project work as required

Requirements

Experience and skills we are looking for:

  • At least 5 years' experience in financial services and compliance, regulatory, or another control function
  • Experience interacting directly with regulators
    is
    highly regarded
  • Tertiary qualification in a relevant discipline, such as Law, Commerce, or Accounting
  • Understanding of the financial services industry in the USA, Australia, and Canada, including knowledge of the relevant regulators, as well as current and proposed financial services regulatory and legislative requirements
  • Strong analytical skills
  • Excellent verbal and written communication skills with the ability to work collaboratively with other business areas
  • Ability to multitask and priorities

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