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Compliance Manager - Advisory (12 months)

Postuler REF: COM002175

Department

A central team of technical experts, the Compliance team provides specialised services and expertise on technical areas on Compliance topics, such as financial security, KYC, professional ethics, market integrity, protecting interests of clients, Group policy and local regulatory obligations. They work closely with the heads of the business and partner with the various leadership teams providing technical advice and support.

Mission: is the effective management of key regulatory risk through appropriate level of controls over the business. Compliance is responsible for the review, development and oversight of ethical practices, internal policy, and legal and regulatory requirements implementation. We provide assurance on the subsequent compliance of same and / or monitor and oversee the resolution of any identified issues of non-compliance or areas of key risk. We act as a liaison for external regulators, auditors and industry bodies.

Summary of the role

The Compliance Manager – Advisory provides compliance advice and opinions on compliance topics, such as financial security, KYC, professional ethics, market integrity, protecting interests of clients, Group policy and local regulatory obligations to allocated business lines.

The Compliance Manager – Advisory is a subject matter expert in the operations of its allocated business lines and is the entry point for all compliance related queries from those business lines. He / she performs level 1 compliance operational controls over the compliance activities relevant to the allocated business lines, participates in allocated business line governance meetings, and coordinates escalation up through the compliance chain of command when required to do so. Additionally, the Compliance Manager – Advisory will support the overall Compliance Advisory function through his / her involvement in tasks and activities that may cover all business lines and/or are transversal in nature.

Key responsibilities

  • Team development: optimizes performance of the Compliance Advisory team through working together. Understands how different individuals within the team bring different skills and approaches. Encouraging working together to achieve collective goals.
  • Subject matter expert in the operations of the allocated business lines and business line specific compliance policies covering all the compliance topics.
  • Understanding of and being able to interpret the application of compliance policies and procedures relating to the Compliance Advisory function and providing advice on same.    
  • Advice:
    • Entry point for all compliance related queries from the allocated business lines
    • Timely review of all queries raised to determine the appropriate action, including escalation as required
    • Providing compliance advice on matters of a transversal nature
    • Proactively works with Policy & Regulatory office to determine the impact of any policy, legal or regulatory changes to their allocated business lines
  • Opines: Provide formal written opinion when required, such as:
    • KYC files (including BAC, CAC)
    • Sanctions & AML cases
    • Financial security / Anti-money laundering / Market abuse alerts
    • New products (TAC / NAC)
    • Assessment of outsourcing requests, including for materiality and regulatory reportability
    • Review of marketing materials
  • Client interaction: (if applicable to allocated business line)
    • Client prospects (RFIs, RFPs, Sales due diligence)
    • Clients (annual due diligence questionnaires and attending due diligence meetings)
  • Governance and reporting:
    • Coordinating / producing all allocated business line specific reporting
    • Coordinating and managing production of all allocated business line specific governance meetings material in which compliance participates
    • Attending and participating in business line meetings and calls, including on compliance topics having a Compliance Advisory touchpoint
  • Training:
    • Deliver allocated business line face to face compliance training
    • Deliver transversal compliance training on Compliance Advisory topics as required
  • Support:
    • Provide support and back-up to the Head of Compliance Advisory, Australia, as required
    • Support the Territory Chief Compliance Officer, Australia & New Zealand, as required
    • Proficient in the use of compliance tools and systems

Qualification / experience

  • Degree qualified in Business, Law or Commerce
  • Technically specific qualifications or evidence of ongoing development for area of specialisation eg: Compliance Management
  • Post graduate qualifications in law beneficial

Technical skills

  • Prior senior management experience
  • Sound knowledge of principles and practices of licence obligations and compliance standards
  • Up to date with regulatory and market requirements (ASIC, AUSTRAC, APRA, ASX), as well as industry association initiatives
  • Good understanding of the Bank’s business model and operations - knowledge in financial services, financial markets and products and their activity drivers plus, specific knowledge of custody, banking, operations, dealing, fund accounting and applying a compliance framework.
Primary Location: AU-NSW-SydneyJob Type: Standard / PermanentJob: COMPLIANCEEducation Level: Bachelor Degree or equivalent (>= 3 years)Experience Level: At least 5 years Reference: COM002175