Opportunities

Compliance Manager – Policy & Regulatory

Written by Anton Murray Consulting Consulting on .

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Location: Sydney

Salary description:

  • Permanent
  • 3 to 7 years of experience

Our client is seeking a high quality candidate with broad regulatory compliance experience in financial services.

The role will involve monitoring internal control so will consistently look to improve and maintain the pre-existing compliance framework.

The Compliance Policy & Regulatory Office provides transversal regulatory watch and monitoring of regulatory changes that have an impact of the business’ active within the Territory as well as the operational monitoring of the associated projects from the Compliance point of view.

The Compliance Manager – Policy & Regulatory Office also provides support to the Compliance – Advisory team in the implementation of transversal regulatory projects.

This fixed term contract will be actively involved in a key strategic project for the Bank, bringing the two divisions together under one entity.  Licencing and regulatory experience is a must for this contract and the team would be open to those coming from Banking/Funds Management or working on similar activities in one of the large consulting firms

Responsibilities:

  • Subject matter expert in local regulatory requirements and Group compliance policies.
  • Policy and Compliance environment evolution:
  • Support Compliance – Advisory with advice in any local regulatory or Group policy technical support. Coordinate and manage all regulatory inspections related to the territory
  • Regulatory Office:Maintains all compliance and regulatory registers
  • Governance and reporting: Coordinating / producing all transversal territory wide, regional and global reporting
  • Coordinating and managing production of all territory wide governance meetings compliance material in which compliance participates. Designing and maintaining templates for business line specific reporting
  • Training:Design and distribute compulsory training schedule covering

Qualifications:

  • Degree qualified in Business, Law or Commerce
  • Technically specific qualifications or evidence of ongoing development for area of specialization eg: Compliance Management
  • Post graduate qualifications in law beneficial

Experience Required:

  • Prior senior management experience
  • Sound knowledge of principles and practices of licence obligations and compliance standards
  • Up to date with regulatory and market requirements (ASIC, AUSTRAC, APRA, ASX, FMA, FAA), as well as industry association initiatives
  • Good understanding of the Bank’s business model and operations – knowledge in financial services, financial markets and products and their activity drivers plus, specific knowledge of custody, banking, operations, dealing, fund accounting and applying a compliance framework

Contact Us in Sydney

LEVEL 26, 1 BLIGH STREET
SYDNEY NSW 2000

Phone:+61 2 8246 8900

Hiring Staff: hire@antonmurray.com

Seeking Work: apply@antonmurray.com

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