Apply: Regulatory Compliance Manager

Reference: BH-176730-2
The Organisation:

An iconic foreign bank in Australia is building up their Line 2 Regulatory Compliance team. This newly created role is ideal for a legally qualified compliance associate who wishes to broaden their regulatory exposure in the Corporate & Institutional Banking space. 


Responsibilities:
  • Support the design of the Compliance framework and implement procedures to ensure conformity with HO, legal, regulatory and local policy requirements and obligations;
  • Enhance and maintain the framework, to ensure policies and procedures are adopted to capture, mitigate and manage compliance risk.
  • Assist the Senior Compliance Manager in a range of key compliance areas such as:
    • 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
  • Monitor, analyse and inperpret compliance requirements for new regulations and emerging risks.
  • Provide compliance training to the first line and contribute 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 as directed by the Senior Compliance Manager and the CRO.

Skills and Experience:
  • 3-4 years of legal and/or compliance experience in FInancial Services.
  • Good understanding of key APRA, ASIC and Privacy requirements which apply to Corporate Banking operations, and can refine compliance policies and frameworks accordingly.
  • Good 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.
  • Ability to interpret legislative requirements and can translate into commercial terms.
  • Ability to focus on high quality work while under pressure and operate independently when required;
  • Legal qualification and a current practising certificate are essential.
Please contact Eugena Gong (0423 221 540 / eugenag@ethosbc.com.au) or apply directly via the Apply for this job button with a WORD FORMAT CV.
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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