Apply: Senior Compliance Manager - Regulatory

Reference: BH-165124
The Organisation:

An iconic foreign bank in Australia is looking for a resourceful regulatory compliance senior to functionally manage the 2nd line regulatory compliance, reporting into the Head of Compliance. This is an exciting role which provides a rare opportunity to gain hands-on experience across a number of general compliance areas, build a name for yourself within a supportive environment and lead, mentor and coach the compliance team. 


Responsibilities:
  • Provide compliance advisory and credible challenge in respect of a range of compliance-related matters which include:
    • APRA CPS 520 Fit & Proper
    • APRA CPS 510 Governance
    • Section 11E of the Banking Act 1959
    • Sections 912D and 991A of the Corporations Act 2001
  • Design the Compliance Framework and implement procedures to ensure conformity with HO, legal, regulatory and local policy requirements and obligations.
  • Monitor the performance of the Compliance Program and related activities on an ongoing basis, taking appropriate steps to improve its effectiveness.
  • Provide advice and oversight for products and services including review of legal documentation to ensure commercial aspects are balanced with compliance aspects.
  • Motivate and manage a team of general compliance and assurance professionals as well as working collaboratively with business units in supporting the effective implementation of our compliance policies.
  • Conduct compliance assurance reviews to evaluate the design and operating effectiveness of the control environment.
  • Assist the first line in developing policies by initiating and reviewing and generally contributing to the improvement and enhancement of processes as well as risk culture.

Skills and Experience:
  • 8+ years of Compliance Management or Internal Control experience gained preferably through Corporate & Institutional Banking, Investment Banking or Professional Consulting.
  • Thorough understanding of key APRA, ASIC and Privacy requirements which apply to Corporate Banking operations, and can refine compliance policies and frameworks accordingly.
  • Thorough understanding of key compliance risks faced by Foreign ADIs in Australia.
  • Knowledge of AFSL obligations for wholesale banking licence, general financial products, derivatives products are highly advantageous.
  • Strong organisation skills with an excellent attention to detail.
  • Ability to focus on high quality work while under pressure and operate independently when required.
  • Legal qualification and market reforms knowledge are highly desirable but not essential.

For further information on this role or to confidentially apply, please contact Eugena Gong on 02 8227 9200 or apply directly via the Apply for this job button. Only WORD FORMAT CVs will be accepted.
Company Background:

Ethos BeathChapman (EBC) is a global group of executive recruitment experts in Australia, Asia and EMEA, with a broader network beyond. We connect exceptional people to exceptional companies.

EBC’s mid-sized agility and solutions-focused approach enables us to flex where traditional recruitment agencies have failed, and scale beyond the reach of boutiques. Our multidisciplinary expertise covers corporate and specialised functions across Finance, Technology, Commerce and Government recruitment markets, among others.

Established 2005 in Sydney, EBC today has six offices worldwide in Australia, Singapore, Hong Kong, Japan, Netherlands and the UK. Part of the Nikkei-listed Will Group, Inc, we own Quay Appointments and our staffing and managed solutions specialists, CONNECT.

Let’s connect, and make exceptional happen, together: www.ethosbc.com

Add your CV and application details

20