Apply: Senior Compliance Officer - Corporate & Institutional Banking

Reference: BH-159146-2
The Organisation:

A major foreign bank in Australia is looking for a resourceful regulatory compliance professional to join the second line compliance team, reporting directly to the Head of Compliance.


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
    • Privacy Act
  • Manage AFSL obligations for wholesale banking licence, and provide guidance on general financial products and derivatives products compliance.
  • Work with management and staff to identify and manage all regulatory, Internal Control and Head Office (HO) Identified Risks.
  • Assist the first line in developing policies by initiating and reviewing and generally contributing to the improvement and enhancement of processes, and risk & compliance culture.
  • Monitor the performance of the Compliance Program and related activities on an ongoing basis, taking appropriate steps to improve its effectiveness.
  • Conduct compliance assurance reviews to evaluate the design and operating effectiveness of the control environment.
  • Other ad hoc and project tasks.

Skills and Experience:
  • 5+ years Compliance Management or Internal Control experience gained preferably through Corporate & Institutional Banking and/or Investment Banking.
  • 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 is 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

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