Compliance Officer

Description

• Contribute to the preparation of global compliance assessments/reporting for global stakeholders.
• Provide privacy advice to first line Privacy Co-Ordinator on all privacy related incidents or queries.
• Responsible to inform external fraudulent transactions to Group FCC, including preparation of fraud investigation form.
• Co-ordinate with the independent tester in measuring and identifying risks via Risk Control Framework (RCF) and ensure action plans are in place on all findings (if any).
• Facilitate in resolving complaints received from external parties (customers/business partners). Ensure that any unresolved complaints are addressed, and that the complaints register is kept up to date.
• Assist in reviewing new and amended policies and standards.
• Provide compliance opinions on all Special Categories of higher risk customers as required.
• Planning, executing and reporting on Second Line Monitoring (SLM) key control testing.
• Assist the Local Compliance Officer in various Conduct related matters, including manage conduct incident reporting tool based on internal requirements.
• Assist in filling Suspicious Matter Report (SMR) to local regulator(s).
• Contribute to the preparation of Compliance Program and Annual Report for the regulators.
• Support of the Regional/Local Compliance Officer and Group Financial Crime Compliance (Group FCC) oversight over AML, CTF and sanction risk (governance, management information (MI), risk assessment), managing regulatory remediation programs and driving required business changes needs.
• Contribute to the development of quality, streamlined, and fit for purpose compliance strategies and policies, training and information programs, plans, policies, and resources.

Requirements

• 2 – 5 years’ experience in the banking/financial industry.
• Be flexible, show initiative and respond quickly to changes in situations.
• 1 – 3 years’ experience in Compliance or AML (or Compliance-related fields) with demonstrable experience in Customer Due Diligence, Financial Economic Crime, AML and/or sanctions, and/or incident management and remediation processes.
• Good data analysis skills.
• Basic commercial understanding of vendor finance products, processes, customers and distribution channels.
• Ability to take responsibility and be proactive on new matters and projects.
• DLL’s referral program applies
• Demonstrate understanding of relevant laws and regulations within financial services.
• Customer focus, complex problem solving, partnership and proactivity.
• Ability to develop a good teamwork ethic, reporting and presenting assessments and evaluations of project data in a variety of formats, communicating orally and in writing in a clear, succinct and lucid fashion, showing a solid understanding of compliance and risk management issues relating to product and service within DLL ANZ.
• Relevant tertiary qualifications in Business or Finance.
• CAMS certification (or equivalent).
• Ability to clarify and communicate complex concepts and arguments to diverse audiences.
• Ability to work without supervision and to lead projects following tight deadlines.

Benefits

• Flexible hours with possibility to work from home
• Career development opportunities: online learning, member development programs.
• Finance – Provide learning opportunities to help members achieve personal financial health
• Health – Manage mental, emotional, and physical health
• Two working days per year volunteering for a local charity.
• Health and Wellness program including healthy food, free health checks, fun health & vitality activities.

Training + Development

Interview process

Visa Sponsorship

Security clearance