Compliance Senior Analyst/Manager
Salary AUD95,000 - AUD120,000 per annum + Super + bonus
Location Sydney CBDFULL_TIME
Consultant Dylan Mountford
Date posted 1 February 2019 2019-02-012019-03-02 banking Sydney CBD New South Wales AU AUD 95000 120000 120000 YEAR Robert Walters https://www.robertwalters.com.au
The Compliance Senior Analyst/Manager is responsible for assisting in the management of regulatory compliance for our client’s ANZ entities, as well as group-wide policy functions and providing day-to-day support on policy and licensing for ANZ.
The Compliance Senior Analyst/Manager will sit within the second line Compliance function to support business aligned Compliance and our clients business groups, including providing an effective advisory function and improving tools available.
You will assist in managing the licensing requirements for ANZ (both AFSL and ACL). This includes filings such as:
• responsible manager appointments and removals
• licence maintenance, including variations and applications
• annual compliance certificates for ACL
You’ll be responsible for delivering our client’s ASIC Industry Funding annual data submission to ASIC for all ANZ licenses.
A key function of this work will be engagement with senior Compliance and business stakeholders (group COOs).
You will also assist in the delivery of our client’s annual AFSL audit, including coordination of requests from the auditors and preparation of final briefing packs towards the annual submission deadline.
You will also provide policy oversight of Compliance owned policies, including policy reviews and execution is a key part of the role for the following policies:
• Outside Business Activity
• Gifts and Entertainment
• Soft Dollar
• Breach, Incident and Escalation
+3 years compliance experience within financial services
You’ll bring with you a good knowledge and understanding of licensing requirements in ANZ, ideally gained from a Compliance role within a similar financial institution.
You will also have and be able to display excellent stakeholder management skills and communication skills both verbal and writing.
To apply please click apply or call Dylan Mountford on 02 8289 3171 for a confidential discussion.