AddressJS Careers has been mandated to source an experienced compliance professional for a leading global technology led financial services firm. This organisation is looking for an ambitious and highly motivated compliance professional to provide overall leadership for the Regulatory Compliance function and ensure the company is meeting its AFS license and compliance obligations.
Key responsibilities:
- The ongoing development and delivery of the group compliance framework, covering all obligations across ANZ.
- Maintaining various registers and procedures, management of license conditions and ensuring ongoing compliance with external regulation, market practices and industry codes.
- Continued implementing of internal systems and controls to improve compliance reporting and visibility.
- Ensuring company members remain up to date and compliant through regular training.
- Working with stakeholders to ensure there is a proper compliance culture embedded into all areas of the business.
- Provide monthly and ad-hoc compliance & operational risk reporting to internal and external boards and committees.
- Responsible for the timely provision of information to regulators, including periodic returns and ad-hoc information requested (including in relation to regulatory audits) by regulatory bodies.
- Maintain personal/professional development to meet the changing demands of the role, constantly updating your knowledge of market developments and changes to regulatory requirements.
Suitable candidates must possess :
- 8+ years in a regulatory/markets compliance advisory role;
- Legal education and/or training is highly preferred;
- Strong understanding of current and emerging regulatory issues;
- Organised and self-motivated working style;
- Proven track record of being able to maintain & implement compliance frameworks, sign off on financial promotions, manage monitoring, breach management with strong reporting skills;
- Strong soft skills, able to work collaboratively with a close-knit team, especially in the role of providing compliance education and training.
- Knowledge of the regulatory environment for retail banking and credit products.
If you may be interested in this opportunity please apply or alternatively get in touch with Troy Geddes (***********@jscareers.com.au) for more details.
