Compliance Manager – Investigation and Breaches

3 weeks ago

Sydney, Australia ING Full time

We value your unique voice and perspective, which is why we're counting on you to help us become even better. Join ING Australia's Conduct Compliance and Ethics team as Compliance Manager – Investigation and Breaches  and build an exceptional experience for yourself while making a difference in our customers' lives. You'll have the opportunity to shape the way they bank and empower them to stay ahead in both life and business.

Conduct Compliance & Ethics’ (CCE) purpose is to manage risks arising from Unfair Customer Treatment, Conflicts of Interest, Market Conduct, Anti-Competitive Conduct, and Organisational Conduct and to help ING manage risks arising from our norms, attitudes and behaviours related to risk awareness, risk-taking and risk management. The role of Compliance Manager – CCE is instrumental in further enhancing and embedding the compliance risk management culture within ING.

In this role, you will provide SME advice, challenge, support, and/or undertake investigations and assessments, of potential breaches and serious complaints.

You will also support Compliance in pro-actively developing, managing, and maintaining a best practice compliance framework, and enhancing systems and processes to ensure that ING is compliant by desire and design.

To be successful you will have demonstrated capacity to investigate potential breaches of ASIC regulated legislation, interpret and assess compliance with applicable obligations; and prepare written assessments and recommendations to senior stakeholders regarding potential breaches, control gaps, and remediation action.

Ready to make an impact?


What you’ll do  

Investigate potential breaches and serious complaints. Interpret and assess compliance with applicable obligations. Prepare written assessments and recommendations to senior stakeholders regarding potential breaches, control gaps, and remediation actions. Ensure all regulatory and business compliance reporting requirements are met. Work closely with the Senior Compliance Manager and other Compliance Managers to maintain and enhance Compliance’s frameworks, policies, procedures and processes. Drive ING’s efforts to identify, analyse, investigate, assess, remediate and report potential breaches of applicable laws, regulations, and mandatory standards. This includes the development and maintenance of appropriate tools and templates. Take a proactive stance in promoting and maintaining an effective and sustainable compliance culture throughout the organisation. Ad hoc project tasks as required. Champion a risk and compliance culture within the business

What we’re looking for  

Experience working for either ASIC or APRA would be considered highly desirable with 5+ years of relevant experience in compliance or legal roles in the financial services industry. Solid understanding of Australian Consumer Law and the Corporations Act as they relate to retail banking.  Ability to lead investigations and provide a high standard of written / verbal communication to senior leadership with sound analytical skills and the ability to make decisions, critically assess and determine appropriate action in time pressured environments. The ability to drive positive risk culture practices and experience of this in team leadership. Excellent understanding of operational risks and control frameworks in retail Banking with experience in investigations into non-compliance with financial sector legislation, specifically root cause analysis. Understanding of relevant consumer lending obligations including BCOP and Privacy and AML/CTF legislation with proven knowledge (or proven ability to acquire such knowledge) of legal, regulatory and industry code obligations as they relate to products and services offered by ING. Broad retail banking product knowledge (preferable). Ability to communicate with business stakeholders in a professional manner, build strong rapport, and assist the business embed compliance culture and practices as part of day-to-day business operations; using exceptional influencing skills and ability to ensure optimal outcomes are achieved whilst managing stakeholder expectations. Adaptive ability, with an analytical and pragmatic approach to solutions, and being able to work in a fast-paced environment.

What’s in it for you ?

Discounted ING Health Insurance  An additional Rest Day to support your wellbeing  An IMPACT day to volunteer on an approved sustainability activity 

About Us  
 
At ING, we want to make life simpler and more worthwhile – for everyone who banks with us, for the people who work with us, and the community at large, too. 
 
When you come to work at ING, you’re joining a team where individuality isn’t just accepted, it’s encouraged. We’ve built a culture that’s fun, friendly and supportive – it’s the kind of place where you can be yourself and make the most of whatever you have to offer. 
 
We give people the freedom to think differently, take ownership of their work, and make great things happen. We’re here to help you get ahead. And with our global network, there’s plenty of scope to take your career in new directions, perhaps even ones you’ve never considered. 
 
We are all about celebrating success and as a result we are proud to be a WGEA Employer of Choice for Gender Equality and a certified Family Inclusive workplace.
 
Sound like the kind of place you’d feel at home? We’d love to hear from you. 
 
(One last thing, ING operates a direct talent sourcing model. So no agency introductions,

Need more?  
Contact Skye Griffiths on

  • Investigator and Compliance Officer

    4 weeks ago

    Sydney, Australia Australian Communications and Media Authority Full time

    Canberra/Melbourne/Sydney Canberra,Melbourne,Sydney - ACMA 5/6 - Min $79,557 Max $99,024 This is an exciting opportunity to work with a small but fast paced team to deliver strategic and operational outcomes for the ACMA in regulating Australia’s spam and telemarketing laws. As an APS 5 or APS 6 Investigator and Compliance Officer, you will be familiar...

  • Compliance Investigation Officers

    4 weeks ago

    Sydney, Australia Bayside Group Full time

    **Location**: Sydney C B D - New South Wales **WorkType**: Contractor **Salary**: 52 - 59 Outstanding opportunities are available to join the dynamic operational teams within the federal government agency established to improve the quality and safety of services funded by NDIS. Commencing immediately for initial 6 month duration (opp for further 12month...

  • Manager, Compliance Coaching

    4 weeks ago

    Sydney, Australia RAMS Full time

    **How will I help?** This role plays a key role in implementing and managing compliance and monitoring obligations in the RAMS franchise network. The role is responsible for partnering with key stakeholders on all matters involving compliance in the RAMS franchise network, provision of coaching, developing pragmatic solutions to enhance monitoring and...

  • Aps5 Compliance/investigations Officers

    4 weeks ago

    Sydney, Australia Onpoint 365 Full time

    Multiple positions available - Initial 6-month contract with a possible 12-month extension available. - Various locations available throughout Australia **APS5 Compliance/Investigations Officers** - **Multiple positions available**: - **Initial 6-month contract with a possible 12-month extension available.**: - **Various locations available throughout...

  • Manager Investigations

    2 days ago

    Sydney Western Suburbs, Australia NSW Crown Lands and Public Spaces Full time

    **_Do you want your work to make a difference for NSW?_** - Together, we create thriving environments, communities and economies._ - **Manager Investigations opportunity with the Office of Local Government NSW**: - **Permanent full-time 35hr p/w**: - **Parramatta and possibility of other NSW Office locations - WFH supported**: - **Salary relative to...

  • Corporate Governance

    4 weeks ago

    Sydney, Australia Compliance and Risk Management Recruitment Full time

    Manufacturing - Management / Supervisor - Sydney - Permanent / Full Time **11th January, 2023**: CRM Recruitment is currently partnering with an organisation who are seeking a Corporate Governance & Compliance Manager, to build and implement the Governance & Compliance Framework for this privately owned consortium. This role is both strategy & execution...

  • Compliance, Regulatory Compliance, Associate, Sydney

    4 weeks ago

    Sydney, Australia Goldman Sachs Full time

    GLOBAL COMPLIANCE Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for...

  • Investigations Manager

    4 weeks ago

    Sydney, Australia Troy Recruitment Full time

    Fascinating fraud cases - Fully flexible with some field work and working from home or CBD office - No Business Development Join a leading governing body who investigate fraud which can result from cyber crimes, money laundering, missing funds or financial irregularities. **Key Responsibilities** - Investigating complaints and tip offs from fraud claims -...

  • Risk and Compliance Officer

    6 days ago

    Sydney, Australia Employ Full time

    3 years Risk or Compliance Experience required - Big four banking Assurance and Compliance, Risk Frameworks lines 1,2,3 - Reporting to the head of Risk and Compliance - Managed Risk in line 1,2,3 and managed risk frameworks and controls - Attend senior Stake holder meetings - Manage a dynamic and challenging environment - Build very strong relationships with...

  • Investment Compliance Analyst

    4 weeks ago

    Sydney, Australia Anton Murray Consulting Full time

    SydneyAsset ManagementPermanentThis is an exceptional new Investment Compliance Analyst role that has just become available with a prominent global firm in their Sydney office.Our client is a prominent global financial services firm, with a thriving Australian custody services business as part of their small Investment Compliance team. The role sits...

  • Financial Crime Compliance

    4 weeks ago

    Sydney, Australia Compliance and Risk Management Recruitment Full time

    Banking & Finance - Funds Management - Sydney - Permanent / Full Time **25th January, 2023**: Global Financial Institution is currently seeking a Financial Crime Compliance & Privacy Manager. - 2nd line financial crime advisory role. - Assist in design, implementation and monitoring of financial crime risk framework, program and policy. - Provide support...

  • Financial Crime Compliance Manager

    4 weeks ago

    Sydney, Australia Compliance and Risk Management Recruitment Full time

    Banking & Finance - Other - Sydney - Permanent / Full Time **20th March, 2023**: ASX listed Financial Institution is currently seeking a Financial Crime Compliance Manager to join its growing team. - 2nd line financial crime advisory role. - Design, implementation and monitoring of financial crime risk framework, program and policy. - Provide support and...

  • Investment Compliance Reporting

    4 weeks ago

    Sydney, Australia JPMorgan Chase & Co. Full time

    Your new role will allow you to showcase your investment compliance technical skills in servicing our Australia & New Zealand (ANZ) region. You will also bring with you your relevant experience in post-trade investment compliance monitoring services, sound knowledge of financial instruments including derivatives and good understanding of Environment, Social...

  • Compliance Analyst

    4 weeks ago

    Sydney, Australia Apex Group Ltd Full time

    Compliance Analyst **Description** Apex Group is looking for a Compliance Analyst to coordinate and report on incidents, breaches and complaints. This full-time role is based in Sydney. As a Compliance Analyst, you will coordinate and report on incidents, breaches and complaints. You will also develop and implement solutions with the business to improve...

  • Risk and Compliance Manager

    4 weeks ago

    Sydney, Australia Bluefin Resources Full time

    **Overview** As an SME in Operational Risk and Compliance for the Client and Technology division, focusing on Superannuation products. In this 1st line role, you will be providing risk, control and compliance advice and support on incidents, breaches and issues, as well as fostering a strong risk management mindset and culture within the company and advise...

  • Compliance Manager

    4 weeks ago

    Sydney, Australia Perpetual Limited Full time

    Sydney CBD | Hybrid WFH/office model- Qualify for a range of exciting benefits, incl. two weeks of additional paid leave each year focused on wellbeing & community- Strong heritage built on trust, integrity and stability Our Legal, Audit, Risk CoSec Compliance & Sustainability (LARCCS) Division is seeking a Compliance Manager to join the team. Reporting to...

  • Complaint & Customer Resolution Manager

    4 weeks ago

    Sydney, Australia Chubb Full time

    **Your Role** You will lead our Australia & New Zealand complaints team and ensure the efficient and effective operation of the Complaint & Customer Resolution (CCR) Service in resolving customers complaints and disputes in compliance with Chubb’s internal framework and regulatory requirements. You will focus on delivering a positive customer experience...

  • Compliance Specialist

    4 weeks ago

    Sydney, Australia Perigon Group Full time

    Collaborative, Supportive and Inclusive Culture - Flexibility and work from home (hybrid model) - Competitive Remuneration package **The Company** Our client is a well-regarded organization from the Insurance industry. They have a refreshing employee-centric approach to everything, with a strong focus on wellbeing and employee engagement. They offer a CBD...

  • Senior Risk and Compliance Officer

    6 days ago

    Sydney, Australia Australian Military Bank Full time

    Since 1959, Australian Military Bank has provided members with fantastic service, great rates and competitive banking and insurance products. As a member-owned financial institution, we are all about putting members first and helping them to achieve their financial goals. We offer mortgage, consumer and credit loan facilities as well as products and services...

  • External Auditor Manager

    5 days ago

    Sydney, Australia Compliance and Risk Management Recruitment Full time

    Accounting - Auditor / Professional Services - Sydney - Permanent / Full Time **25th August, 2023**: We have an great opportunity for a skilled external auditor to join a close knit, collaborative team that is going through an exciting amount of growth. Our client is a very well-respected medium sized, international advisory firm. **Reporting into the...