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Group Compliance Analyst

Written by Anton Murray Consulting on .

Location: Sydney

Salary description: $75k- $90k base

  • $50-100k AUD Equivalent
  • Permanent
  • 3 to 7 years of experience

Our client is a leading European investment bank, seeking an experienced Group Compliance Analyst. This is an exceptional opportunity to work as part of a small Compliance team in close support of the Compliance Manager to manage a diverse set of compliance functions, across several lines of business.

The Compliance Analyst 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 analyst provides guidance to other managers and staff of the Compliance Department regarding control procedures and testing. This position will be partially working on high-level Group Compliance functions, as well as more detailed AML/KYC compliance functions.

  • The role covers employees across several divisions including Asset Servicing, Treasury Services, Depositary Receipts, Markets and Shared Services.
  • In addition, one third of the Compliance Analyst’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
  • Any prior Experience at ASIC, APRA or AUSTRAC would be held in high regard.

Client KYC & AML amendments:

  • Verify the correctness of the amendment instruction (e.g. company search and signature verification), list of authorised signatures or SSI.
  • Data update and legal document upload in internal compliance system.
  • Handle the workflow through internal compliance system
  • Clients’ documents upload

Client KYC & AML  closing:

  • Monitoring of Internal Client Account utilisation and closure inclusive of signed-off proposals from the RMs
  • Receive the SBO email instruction or client instruction to close the client

We expect the salary will be around $80k – $100k + super + bonus.

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