Regulatory Compliance, Conduct & Remediation
Regulatory Compliance & Conduct
Multiple Opportunities at Manager, AD and Director levels (4-10+ yrs experience)
Leading global Professional Services business
Our client has a large Financial Services Risk and Compliance team.
Due to significant client wins and practice growth they have multiple needs for experienced Regulatory Compliance and Remediation professionals from Manager to Director level (approx. 4-10+ years experience).
Our clients Compliance and Conduct team supports clients to manage regulatory challenges, review effectiveness of their risk and compliance frameworks, and provide clients with deep insights and advise on industry and regulatory best practices. Our team includes a number of Compliance, Risk and Conduct specialists who work with clients to review and improve the quality of their Regulatory Compliance, to manage Misconduct, remedy regulatory problems and design customer centric remediation programmes.
They are looking for highly talented Regulatory Compliance, Op Risk and Conduct professionals to join their successful and rapidly growing team. You will be responsible for delivering high quality compliance advisory services to a variety of Financial Services Business; Banks, Wealth Managers & Insurers.
o Compliance framework reviews for AFS licensees, focusing on framework design and effectiveness, monitoring and supervision activities.
o Working with clients to solve complex challenges associated with regulatory change, compliance management practices and regulator engagement.
o Contributing to scoping, execution and delivery on a variety of compliance reviews, remediation programs, and compliance advisory projects.
o Developing strong relationships with clients, maintaining these relationships after engagement completion and assisting in the achievement of Compliance and Conduct’s business development strategy.
o Interpreting and assisting clients in the application of regulatory obligations, industry standards and best practice principles including ASIC guidance.
About You
You are commercially minded, detail focused and interested in solving complex problems in a fast-paced environment. You will have:
o 4-10+ years experience in Regulatory Compliance, Op Risk or Remediation / Conduct programmes.
o Knowledge and practical experience in the application of regulatory requirements and implementing change to Compliance frameworks within the financial services industry.
o Regulatory change management including interpretation of regulatory obligations;
o Compliance monitoring and/or supervision activities;
o Regulator management and liaison.
o Excellent report writing and presentation skills.
o The ability to analyse information quickly and efficiently, drawing on your experience and using creative solutions to solve problems.
o Strong interpersonal skills that enable you to successfully engage with a variety of internal and external stakeholders and develop meaningful relationships to complete deliverables and aid in business development.