Compliance Manager

at  Robert Walters

The compliance manager role will be focusing on carrying out compliance obligation management, monitoring and control testing to support the bank’s compliance framework.
Robert Walters has partnered with one of the leading Chinese Banks in Sydney. The Regulatory Compliance Manager role will be supporting the Head of Compliance.

KEY REQUIREMENTS:

• Relevant experience in financial services, preferably banking.
• A Mandarin speaker would be preferred.
• Full Australian Working Rights required.
  Robert Walters Australia is acting as an Employment Agency in relation to this vacancy.
  The compliance manager role will be focusing on carrying out compliance obligation management, monitoring and control testing to support the bank’s compliance framework

• Assist to conduct research on legal and compliance issues, and project management of regulatory updates and changes
• Co-ordinate and preparation of regulatory registration and reporting both internal and external, working with business units to collate relevant information.
• Coordinate and prepare legal and compliance related reports.
• Assist to conduct policy and procedure reviews and updates.
• Attending to external enquiries from government authorities, courts, enforcement agencies or professional firms.
• Carrying out compliance obligation management, monitoring and control testing to support the bank’s compliance framework
• Monitoring and responding to compliance incident and assist in breach reporting
• Prepare reports to management and HQ
• Co-ordinate legal and compliance related training’s.