Advisor, Compliance Assurance

An exciting opportunity for a Regulatory Assurance Manager to join a leading financial services organisation in Sydney. This role will focus on regulatory assurance, control testing and ongoing monitoring across a Global Markets environment, with a strong emphasis on using data and technology to enhance the way assurance is delivered.

The Role

• Develop and deliver a risk-based regulatory assurance and monitoring program.
• Design and execute testing to assess control design and operating effectiveness.
• Identify control gaps, deliver findings and work with stakeholders through remediation.
• Produce assurance reports, dashboards and management information.
• Use data analytics and automation to enhance control testing and ongoing monitoring.
• Partner with Compliance, Risk, Technology and Markets stakeholders.
• Stay abreast of regulatory developments and emerging risks relevant to financial markets.

About You

We're interested in candidates from backgrounds including:

• Regulatory / Compliance Assurance
• Markets Compliance
• Risk & Controls
• Internal Audit – Financial Markets
• Regulatory Risk / Operations
• Market Conduct / Surveillance

You'll ideally bring 5+ years' financial services experience, exposure to control testing and regulatory obligations, and experience across Global Markets, Investment Banking or Capital Markets.

Experience with Python, SQL, Power BI, Alteryx or other data/automation tools would be highly regarded.

Apply below or reach out to:

dan.aldwinckle@robertwalters.com.au | 02 8289 3135

Aboriginal and Torres Strait Islander Peoples are encouraged to apply.
To apply please click apply or call Daniel Aldwinckle on 02 8289 3135 for a confidential discussion.