Compliance Officer

2 weeks ago

Sydney, New South Wales, Australia Abn Amro Full time

Compliance Officer

**About Us**:
ABN AMRO Clearing is a global firm that provides an integrated suite of financial services to professional investors in the global financial market. Our core service offering consists of execution, clearing, financing, stock borrowing and lending, settlement and custody.

**Role Purpose**:
The purpose of this role is to monitor that we are conducting our business in accordance with the rules of regulators and exchanges, as well as our internal policies. You will monitor and assess compliance, market integrity and conduct risks, and develop mitigating actions and take a risk-based approach. This role is a permanent full-time role.

**Role Responsibilities**:

- Provide business lines with professional advice on compliance and regulatory related issues, including in relation to financial markets and AML/CTF
- Provide relevant compliance training to staff
- Develop policies, procedures and compliance plans to ensure compliance with rules and regulations
- Keep abreast of regulatory changes and update policies and control processes accordingly
- Perform testing of business controls including execution and market surveillance controls using ABN AMRO Bank's risk control monitoring and testing systems and investigate identified issues and rule breaches
- Perform compliance monitoring, reporting and risk assessments
- Liaise with internal and external auditors, regulators and exchanges and participate in audits
- Assess risks on new products and services, client on-boarding and reviews and business proposals
- Maintain Compliance registers and databases
- Deal with regulatory incidents including assessing, reporting and recommending mitigation actions
- Responsible for day to day processes within the Compliance department including requests from ABN AMRO Bank's Head Office.

**Role Requirements**:

- Tertiary qualification in a related discipline
- 5+ years relevant working experience within financial markets
- Good working knowledge of financial markets, market surveillance, clearing and execution, and related risk monitoring controls
- Knowledge of local regulations including financial market operating rules, AML/CTF, and privacy
- Experience with market surveillance tools such as SMARTS
- Good presentation skills and ability to communicate and interact comfortably with different stakeholders
- Good drafting, attention to detail, accuracy and analytical skills and ability to meet deadlines.
- Proficient with Microsoft products (Excel, Powerpoint) and Webex

**What we offer**:
ABN AMRO fosters a working environment for people who want to contribute to a culture of excellence. We make a difference with our expert employees, who are driven by a desire to continue developing. We attract people who take their job and their talents very seriously, and in return we give employees the responsibility and the scope to excel in their role. You will be working with a group of people who have the same drive and vision, but whose backgrounds and experience are as diverse as those of our clients.

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