Compliance Officer

Location : Sydney

Description

Coordinate and report on incidents, breaches and complaints. Develop and implement solutions with the business to improve the quality of service to our clients. Provide compliance reporting to clients. Coordinate internal audits and AML reporting.

Job specification

• Completion of annual due diligence questionnaires

• Co-ordination of supplier due diligence questionnaires

• Preparation of compliance letters for clients

• Reporting on complaints, incidents and breaches

• Investigations of incidents and working with the business to implement solutions

• Partner with the business to develop processes and procedures that improve the quality of service to our clients

• Assist with the development and implementation of compliance policies and procedures

• Drafting training material for compliance training

• Coordinate the training on processes and procedures for the teams

• Implement and conduct control testing of processes and procedures

• Coordinate and conduct internal audits

• Review legislative changes that affect Mainstream operations and develop compliance solutions that satisfy these changes

• Provide regular compliance reporting

• Stay current with regulatory and legislative changes and participate in industry groups

• Perform ongoing Anti Money Laundering (AML) monitoring obligations and reporting

• Co-ordinate completeness of regulatory records of transitions

• Other ad hoc responsibilities as required.

Skills Required:

• Experience in funds services industry

• 1+ years’ experience in a AML or compliance role with funds knowledge

• Strong understanding of regulatory and legislative requirements essential; knowledge of AUSTRAC requirements

What you will get in return:

· A genuinely unique opportunity to be part of an expanding large global business;

· Competitive remuneration commensurate with skills and experience;

· Training and development opportunities

Additional information:

We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependants, physical or mental disability. Any hiring decision are made on the basis of skills, qualifications and experiences.

We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

For more information on our commitment to Corporate Social Responsibility (CSR) please https://www.apexgroup.com/corporate-social-responsibility/

“Personal data provided by job applicant(s) will be used for recruitment purposes only and will be treated strictly confidential. Such personal data can be accessed by different Apex stakeholders within and out of country for the consideration of the job application hereunder. Application made by the job applicant(s) constitutes the irrevocable consent of the job applicant for her/his personal data to be used by Apex stakeholders within or outside country for the purpose of this recruitment.”