Senior Compliance Analyst

Senior Compliance Analyst

Job Title: Senior Compliance Analyst
Contract Type: Permanent
Location: Sydney, New South Wales
Salary: Negotiable
Reference: JOB_000192_1542251851
Contact Name: Charlotte Milner
Contact Email: Charlotte@blakeoliver.com.au
Job Published: November 15, 2018 14:17

Job Description

A leading Investment Bank is looking for a Senior Compliance Analyst specialising within Wealth Advice Monitoring to join their team. You will work with senior compliance professionals and business stakeholders to actively identify and manage compliance risks in the evolving Banking and Financial Services Group. In addition to a market leading remuneration package the bank also provides industry and banking benefits.

Key responsibilities:

  • Conduct targeted and thematic compliance reviews and investigations
    on the retail financial services area.
  • Responsibility for performing periodic reviews of representatives
    against obligations, regulations and policies, and advising on outcomes to
    improve processes and control design and performance.
  • Undertake targeted investigations and thematic reviews to identify
    adherence to relevant legislation, regulations
    and Australian Financial Services Licence licensing obligations
  • Provide coaching/feedback to the Australian Financial Services
    Licence and representation to promote improvements in understanding of the
    quality of advice provided, processes and good practises.
  • Identify and document incidents and breaches and escalate these to
    relevant stakeholders.
  • Contribute insights to aid in improving the compliance assurance
    program with the overall objective of improving the monitoring approach
    over the Australian Financial Services License and representatives to
    provide high-level analysis, evaluation, guidance and strategic thought on
    issues and provide possible approaches or solutions to issues detected.
  • Identify thematic and systemic risk indicators which contribute to
    enhancing the compliance framework.

Key Competencies:

  • Strong understanding of wealth management compliance
  • Experience in applying ASX / ASIC Market Integrity rules
  • Good networking and effective relationship building skills
  • High degree of commercial acumen
  • Ability to work well under pressure
  • Resilient and dynamic
  • Strong communication and interpersonal skills
  • Previous Banking or Financial Services experience

How To Apply:

If you are interested in this opportunity, please apply directly or contact our consultant Charlotte on 0280 228 718 or .

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