Compliance Manager

Compliance Manager
Do work that matters:
CommSec Risk Management is a part of Business Banking Risk Management within CBA Risk Management. The team has four key areas of focus – compliance, credit risk, market risk and operational risk.
CommSec Compliance is responsible for ensuring all business activities, transactions and processes are conducted in accordance with the Compliance Risk Management Framework. We do this by providing advice, monitoring and oversight of business activities.
See yourself in the team:
The Purpose of the role is to take the lead in delivering to the business consistent and fit for purpose Compliance Risk Management practices by coordinating the ongoing implementation of the Compliance Risk Management Framework.
Your day could look like but not limited to:

• Provide advice as a Compliance Manager in supporting the CommSec business, identifying and analysing the impact of new, proposed or amended products on CommSec and recommend action plans to ensure risks are appropriately mitigated;
• Evaluate and provide advice to the business on compliance issues and incidents, including managing any escalation and reporting of incidents to regulators;
• Management of regulatory enquiries as required;
• Contribute to the development of compliance management, learning and development across Business Banking Risk Management
• Customer Service & Productivity - Evaluate and advise on compliance issues in relation to product/process initiatives and reviews.
• Risk Culture & 3 LOA -Contribute to the design, implementation and on-going improvement of BB and CommSec compliance manuals, policies, procedures and systems.
• Risk Culture & 3 LOA - Contribute to the review of material completed by Group for consideration and impact to our business units.

What successful candidates will look like;

• Ability to work safely.
• Degree in a financial or legal discipline.
• Experience in Compliance and/or Risk Management
• Thorough understanding of Australian retail equities, derivatives and margin lending products and markets.
• Sound general knowledge of financial markets, products, general banking experience.
• Strategic and analytical thinking and solid business acumen.

Working at CommBank
At CommBank, we’re committed to building a diverse and inclusive workforce reflecting the customers, businesses and communities we serve. As a values driven organisation, we nurture and support our people, through focusing on skill and talent development, collaboration, flexibility and internal promotion. With service in mind at every touch point, we take accountability for the role we play in securing and enhancing the financial wellbeing of people, businesses and communities.
If you're already part of the Commonwealth Bank Group (including Bankwest, x15ventures), you'll need to apply through to submit a valid application. We’re keen to support you with the next step in your career.
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Advertising End Date: 10/03/2024