Head of Compliance
Salary AUD200,000 - AUD250,000 per annum + Super + bonus
Location Sydney CBDFULL_TIME
Consultant Dylan Mountford
Date posted 25 March 20192019-03-26 2019-04-24 banking Sydney CBD New South Wales AU AUD 200000 250000 250000 YEAR Robert Walters https://www.robertwalters.com.au
The purpose of the Head of Compliance role is to work with the Group Executive, Chief Compliance Officer along with the broader Compliance Team and Senior Management to ensure adequate oversight of the maturity of our clients conduct risk, privacy, market abuse functions.
The Head of Compliance role relates to the effective oversight and management of key policies, standards and processes to ensure the effective management of key compliance risks of Privacy, Market Abuse and Conflicts of Interest (MAC), Anti Bribery and Corruption (ABC) as well as Treating Customers Fairly (TCF), inclusive of complaints. In addition, this role is required to oversee and manage key Control Room activities.
- Appropriate design and management of key local compliance policies and standards to support the effective management of key compliance risks of Privacy, TCF, ABC and MAC across both AU and NZ, in alignment with Group Polices and Standards and the broader compliance frameworks
- Create local policies and standards, in partnership with the business and the Local Compliance Officers that meet business requirements and are aligned with local and global requirements that support strong business and compliance outcomes
- Perform analysis to identify gaps between local jurisdictional requirements and global laws (AU, NZ and European) for key compliance risks
- Undertake annual review of key polices and standards by reviewing and providing feedback to relevant stakeholders including head office and other relevant regions
- Design and support second line compliance advice teams and the business to create implementation plans to support compliance with local policies and standards for key compliance risk areas and management within risk appetite
- Provide specialist advice on key compliance related activities across the region to support the local compliance officers and the business.
- Provide input and guidance for key compliance risk areas to support the development of local training solutions
- Manage, oversee and review the management of compliance incidents and breaches related to key compliance risk areas where required, as well as identifying areas for improvement
- Minimum 10 years Compliance Management experience gained within Banking or financial services industry in a related function.
- In depth understanding of compliance requirements and practices in the Australian financial services sector, gained through significant previous experience in this area.
- Solid understanding of and experience managing a control room.
- Solid understanding of Australian and New Zealand regulatory environment and requirements.
- Demonstrated expertise in risk and control practices.
To apply please click apply or call Dylan Mountford on 02 8289 3171 for a confidential discussion.