Compliance Testing Manager

The Business

A global diversified financial services provider, known for its investment banking, financial markets, and asset management businesses. A growing team in Australia has provided enhanced career advancement for its people, and has taken a proactive approach to compliance. The firm also prides itself on a rare example of great culture and work/life balance in top-tier financial services.

The Role

A specialised team known as Compliance Testing (CT) initiates and manages a range of independent reviews on various compliance processes, across asset management, corporate banking and financial markets. Part of this process includes building and optimising the testing capability across the business, and upskilling stakeholders in compliance. Your role will include:

  • Implementation of CT reviews in ANZ to meet regulatory requirements
  • Executing end-to-end CT reviews
  • Strategic input in CT planning
  • Implementing remediation recommendations following reviews, working closely with stakeholders
  • Developing relationships across different business lines and regions
  • Delivering training and coaching to a wide range of audiences
  • Providing key commercial information to senior stakeholders on review status and other metrics
  • Identifying regulatory trends and developments and ensuring the firm's activities are aligned
  • Interacting with the regulators as required
  • Managing a variety of ad hoc projects

The Ideal Candidate

This is first and foremost an analytical role, and will challenge the analysis and report-writing skills of the most astute compliance experts. A talent for stakeholder management is essential, and a confidence in your own ability will serve you well. Ideally, you'll bring the following to the table:

  • Solid compliance, audit or regulatory risk experience in financial services (or Big 4 firm equivalent), preferably financial markets or asset management
  • Strong testing skills are obviously useful, but not essential - the firm's CT team is top-of-market, so a learning curve is expected
  • Good understanding of banking and securities laws, regulations, directives and regulatory expectations
  • Excellent oral and written communication skills - this cannot be emphasised enough
  • Proven project management skills, and the ability to juggle a range of conflicting tasks, whether deep-dive analytics or conducting interviews
  • Strong academics at a respected university

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.