Compliance Officer recruitment
Responsibilities:
• Executing controls and monitoring tasks in accordance to the compliance controls plan.
• Reporting on findings to line manager and stakeholders and ensuring action is taken to address deficiencies.
• Assisting in the development and maintenance of the compliance monitoring procedures, compliance plan and compliance program.
• Identifying and analysing any new legal or regulatory changes on the WM business.
• Working closely with the business to identify opportunities for better or new processes where compliance issues are at stake and developing alternative solutions and recommendations on risk management.
• Providing proactive compliance support, guidance and training to the WM business in Australia.
• Assisting the Compliance team in performing periodic global key controls testing.
• Liaising with Group Internal Auditor, External Auditor and providing compliance support where there are regulatory enquiries or investigations
Requirements:
• Minimum 4-6 years of relevant work experience; previous legal, compliance, regulatory or audit experience pertaining to wealth management would be preferable
• Knowledge of wealth management products and service offering preferable
• Knowledge of the local regulatory requirements and environment.
• Thorough record-keeping abilities and attention to detail
• Strong communication skills including the ability to deal with potentially contentious issues effectively.
• Highly proactive- taking initiative to improve compliance processes and practices.