The Compliance Analyst will support compliance inquiries, conduct risk assessments, update management plans, and work with various teams to ensure regulatory compliance.
This role will report to the Head of Compliance and is a great opportunity to apply your previous experience while expanding your skillset in a regulated compliance environment across three different business areas. You will have the opportunity to develop and support the enterprise-wide compliance calendar and act as a key communicator between different teams across the business.
Some of your key responsibilities will include:
- Support different teams across the business with their compliance inquiries
- Work with all internal teams to ensure ongoing compliance with all regulatory requirements and international standards
- Continue the update of the compliance management plans, including regulatory changes, compliance policies, compliance plans, compliance training, and compliance monitoring
- Work closely with the Compliance Assurance Officer to monitor the control assurance testing plan
- Compile compliance reports and compliance updates for the Head of Compliance and other stakeholders
- Conduct compliance assessments and review risk obligations
- Conduct risk assessments where new risks arise or where new processes are introduced across the organisation
- Carry out periodic reviews of existing risk assessments
- Provide ongoing assistance in the delivery of the compliance and risk frameworks
- Manage the risk incident and remediation processes
- Work with senior leaders and business units to understand business drivers, concerns, and future expansion plans, and offer support to manage risk
- Maintain multiple policies and registers
- Review key policies and procedures where required, and support staff members in drafting policies and procedures
- Prepare and lodge regulatory filings
- Work with internal and external stakeholders and participate in business meetings as required
- Support team members with complex issues and share best practices
- Respond to ad-hoc queries and assist in project work as required
Experience and skills we are looking for:
- At least 5 years’ experience in financial services and compliance, regulatory, or another control function
- Experience interacting directly with regulators is highly regarded
- Tertiary qualification in a relevant discipline, such as Law, Commerce, or Accounting
- Understanding of the financial services industry in the USA, Australia, and Canada, including knowledge of the relevant regulators, as well as current and proposed financial services regulatory and legislative requirements
- Strong analytical skills
- Excellent verbal and written communication skills with theability to work collaboratively with other business areas
- Ability to multitask and priorities
Freelancer.com Sydney, New South Wales, AUS Office
Level 37, Grosvenor Place, 225 George Street, Sydney, NSW, Australia, 2000
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