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Vice President – Compliance Officer

Written by Anton Murray Consulting on .

Location: Sydney

Salary description: $110k - $140k + super

  • $100-150k AUD Equivalent
  • 1 to 3 years of experience

Our client is a tier-one firm seeking a Vice President level Compliance Officer.

The compliance vice president exercises management responsibility for ongoing compliance monitoring with the purview of the firm’s code of professional conduct, policies, and procedures. The compliance vice president acts as an interface with firm’s audit department to perform periodic compliance audits. The compliance vice president provides guidance to other managers and staff of the Compliance Department regarding control procedures and testing.

  • The role covers employees across Corporate Trust, Asset Servicing, Treasury Services, Depositary Receipts, Markets and Shared Services.
  • In addition, one third of the Compliance Officer’s time is dedicated to AML which covers advisory, KYC assistance to the businesses and ensuring that the local AML Program is operating effectively.
  • The role is also responsible for executing the Australian compliance plan monitoring which typically covers 13 reviews per year. Australia is a highly regulated and mature financial markets with multiple regulators and licences that the franchisee operates under.
  • In addition, there are multiple significant regulatory initiatives in Australia which will commence in 2018.
  • Internal audit experience
  • Experience at ASIC, APRA or AUSTRAC
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