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Junior Compliance Associate

Job Title: Junior Compliance Associate
Contract Type: Permanent
Location: Sydney
Industry:
Reference: 2949428
Job Published: June 05, 2019 17:33

Job Description

The Company

Top tier global bank with a reputation for true work/life balance, developing high performers and offering global opportunities to all staff after 2 years of service. Impressive offices in the Sydney CBD.
  
The Role

Responsibilities:
  • Support the compliance and risk management programs, including perform periodic testing and reporting
  • Review marketing, promotional and communication materials to mitigate misselling and reputational risk
  • Maintain and update compliance registers
  • Liaise with investment managers on compliance certifications, licensing and violations
  • Liaise with service providers on trust compliance risk-related issues
  • Assist with breaches and errors and ensure proper reporting, escalation and corrective measures are taken
  • Assist with compliance training for new and existing employees
  • Assist in the preparation of Committee papers
  • Assist in responding to requests for information and documentation from internal and external stakeholders
  • Lodging regulatory filings
  • Maintain up-to-date documentation of compliance policies and procedures
  • Assist with other tasks as requested from time to time by the Head of Compliance
  • Assist the APAC Head of Compliance with regional compliance tasks, regional projects and coordination, as required
Your Background

We are looking for someone with;
  • A degree in Business, Law or Compliance
  • 1-3 years’ experience within financial services
  • Compliance experience NOT required
  • Strong oral/written communication skills and attention to detail
  • Ability and willingness to learn, work autonomously and as part of a team
  • Current knowledge of latest regulatory requirements and regulations across financial services, anti-money laundering and combating terrorist financing would be advantageous
Benefits
  • Competitive salary package
  • Global opportunities
  • High performing culture with excellent work/life balance
  • Career progression opportunities for high performers
The team optimises performance of the compliance team through working together. They understand how different individuals within the team bring different skills and approaches and encourage working together to achieve collective goals.

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