Compliance Officer

Overview

Ensure regulatory compliance, manage risk, and support AML/CTF activities.

Key Responsibilities

• slm testing
• smr filing
• fraud reporting
• rcf coordination
• conduct tool
• aml governance

Tasks

-Assist in reviewing new and amended policies and standards. -Planning, executing and reporting on Second Line Monitoring (SLM) key control testing. -Contribute to the preparation of Compliance Program and Annual Report for the regulators. -Assist in filling Suspicious Matter Report (SMR) to local regulator(s). -Contribute to the development of quality, streamlined, and fit for purpose compliance strategies and policies, training and information programs, plans, policies, and resources. -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. -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. -Provide compliance opinions on all Special Categories of higher risk customers as required. -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). -Contribute to the preparation of global compliance assessments/reporting for global stakeholders. -Assist the Local Compliance Officer in various Conduct related matters, including manage conduct incident reporting tool based on internal requirements. -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.

Requirements

• cams
• aml
• compliance
• data analysis
• finance
• risk management

What You Bring

-Basic commercial understanding of vendor finance products, processes, customers and distribution channels. -Relevant tertiary qualifications in Business or Finance. -Ability to clarify and communicate complex concepts and arguments to diverse audiences. -DLL’s referral program applies -Good data analysis skills. -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. -CAMS certification (or equivalent). -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. -Ability to work without supervision and to lead projects following tight deadlines. -Be flexible, show initiative and respond quickly to changes in situations. -2 – 5 years’ experience in the banking/financial industry. -Ability to take responsibility and be proactive on new matters and projects.

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Benefits

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

About Dll

-DLL began as a vendor-finance pioneer and has since evolved into a global asset-finance leader. -DLL helps equipment manufacturers, dealers, and distributors unlock growth without tying up capital. -DLL supports clients across the full equipment lifecycle—from inventory and retail financing to used-equipment resale. -Its adaptable financing model spans commercial and retail finance, fair-market leases, and pay-per-use plans tailored to usage patterns. -DLL blends industry know-how with financial acumen through work in areas like Industrial, Construction, Energy Transition, Healthcare, Agriculture, and Transportation. -DLL's engagements include funding fleets of farm tractors and construction machinery, as well as facilitating upgrades in healthcare tech and clean-energy projects. -DLL's standout initiative includes remarketing used assets—like repurposing ambulances—through a dedicated platform for used-equipment sales. -DLL, while maintaining an entrepreneurial, partnership-driven culture, boasts strong financial footing due to its growth under the Rabobank Group. -DLL's global consistency is supported by local teams delivering tailored solutions across borders. -With over five decades of history, DLL continues to innovate in financing, bridging asset acquisition and optimal use through smart, sustainable funding.

Sector Specialisms

Interview Process

-the selection process may involve an assessment.

Security Clearance

-hiring subject to successful completion of a background check.