Compliance Officer

Compliance Officer, Melbourne, Australia

This job is responsible for providing ongoing support and guidance to the business on the implementation of the Corporate Compliance Program and Regulatory Compliance, with an immediate focus on Internal and external dispute resolution. The role will support various regulatory and compliance activities and projects as directed by the ANZ Compliance Manager.   

This position will be in Hybrid at our Australia location.  

What will be my duties and responsibilities in this job?

• Assist with the development and implementation of the ANZ’s Corporate Compliance Program including reviewing and drafting Compliance framework, policies and procedures.
• Establish and ensure the Compliance Calendar and obligations kept in One SumX are kept up to date, reminders sent in a timely manner to the business. Ensure any issues with meeting deadlines are escalated to the appropriate levels of management.
• Lead and assist with the investigation and management of compliance issues, incidents and breach matters (including IDR and EDR) and collaborate with functional teams to implement control improvements.
• Ensure attestations are completed by all internal and external parties.
• Assist with project management and execution requirements as directed by the ANZ Compliance Manager. 
• Review Mandatory Disclosure Documentation and key documentation to ensure compliance with prevailing legislative and regulatory obligations and support the review of key business documentation.
• Assist with regulatory liaison, including drafting and sending correspondence and completion of specific projects as required.
• Provide assistance to business stakeholders as required in relation to compliance matters.
• Assist in the preparation of Compliance Committee papers and other Executive reporting as required.
• Keep abreast of legislative and regulatory development and assist with regulatory insights development and/or participate in working groups in collaboration with business stakeholders to assess and implement remedial actions.
• Document management, storage and filing duties as required.
• Managing and supervising IDR and EDR programs.

What are the requirements needed for this position? 

Qualifications:

• Relevant undergraduate degree
• RG 146 or other accreditation in insurance 

Previous Experience:

• Minimum of three years' experience in a risk, compliance and/or legal role preferably within a financial services organization.
• Experience in dealing with internal and external dispute resolution enquiries, particularly legacy complaints.

Knowledge:

• Competence in understanding complex business documentation and regulations.
• Good working knowledge of Australia regulations and obligations

Skills:

• Good working knowledge of MS Office Suite, and One Sum X 
• High standard of time management and organizational skills
• Ability to work on multiple tasks with demanding deadlines.
• Strong attention to detail
• Strong research skills
• Strong professional written and communication skills
• Ability to use initiative to investigate and solve problems.

Ideally, we are looking for a person who can interact and make a positive impact with a large range of internal and external stakeholders.

What the skills/experience would be helpful to have?

Qualifications:

• Compliance certificate courses

Previous Experience:

• Minimum of three years’ experience in an Operational or Risk and Compliance function of a financial services organization
• Complaint management (IDR or EDR)

Knowledge:

• Good working knowledge of New Zealand regulations and obligations
• Good understanding of the structure of Financial Services business and functional areas

Skills:

• Data Analytics