Job Details

$80000 - $120000 per annum
Job Type
Eugena Gong
10 days ago
The Role: 

The Compliance & Legal Officer is responsible for assisting the Chief Compliance Officer to meet the Compliance & Legal department’s objective of ensuring compliance with regulatory obligations that apply to the Sydney Branch of a global bank (foreign ADI) through establishing and maintaining a rigorous compliance framework.

Major Accountabilities / Key Tasks
  • Review and update policies and procedures that support the Compliance Framework.
  • Maintain and keep up to date the Compliance & Legal Registers.
  • Facilitate reports and notices from head office and provide responses and translation when necessary.
  • Provide training – including induction training for all new staff and ongoing compliance & legal training.
  • Draft reports to the head office on a quarterly and semi-annual basis.
  • Prepare periodic reports for the senior management and assist in drafting reports for the regulators.
  • Assist the Chief Compliance Officer in updating the Compliance Plan.
  • Champion the regulatory change triage.
  • Assist where necessary in the compliance monitoring activities on monthly, quarterly and ad hoc basis.

Skills, Experience, Education, Licences / Certificates and Knowledge Required
  • Tertiary degree in Law / legally qualified.
  • Knowledge of the Australian financial Services laws and regulations including licensing requirements for foreign banks.
  • Broad knowledge of APRA Prudential Standards and AML requirements.
  • Excellent verbal and written communication skills.
  • Confident and able to communicate effectively with both peers and management.
  • Ability to translate office documents between English and Mandarin Chinese.

For further information on this role or to confidentially apply, please contact Eugena Gong on 02 8227 9200   or apply directly via the Apply for this job button. Only WORD FORMAT CVs will be accepted.