The Senior Compliance Manager – Regulatory Office serves as the dedicated subject matter expert and primary advisory point for allocated business lines, providing guidance and challenge on matters including those associated with market integrity, conduct, regulatory obligations and professional ethics.
The role will have an additional initial key area of responsibility as Compliance Subject Matter Expert (SME) on an ongoing equity trade participant business project.
Principal Role Accountabilities
- Regulatory Compliance Advisory - Proactive ‘watch’ for evolutions originating from local law, regulators and / or Group policy. Provide expert regulatory advice and subject matter expertise to support and challenge business decision making and ensure compliance with and implementation of local laws, regulatory requirements and Group policies.
- Regulatory & Compliance related Audit Engagement - Preparation and coordination for regulatory inspections and compliance related audit engagements associated with the Territory, preparation and coordination of regulatory communication. Participate proactively with industry bodies and relevant working groups on regulatory and industry wide matters.
- Leadership - Mentor, train and support the development of more junior team members.
- Risk Management - Identify, assess, and mitigate regulatory and compliance risks through effective controls, monitoring, and governance.
- Business Partnership - Build robust and effective partnerships with business stakeholders to deliver practical, risk-based compliance solutions that support strategic and operational objectives whilst fostering a strong culture of compliance and effective regulatory risk management.
- Operational Excellence - Maintain (including design and implementation) robust compliance frameworks, policies, processes and training programs that drive consistent and efficient regulatory outcomes.
- Governance - Represent Compliance in governance forums. Deliver under formal delegations as assigned and communicated under delegation holder framework as well as those assigned under domain specific role(s) (or similar) from time to time.
- Other responsibilities - May perform other duties and responsibilities that management may deem necessary from time to time.
What is required for you to succeed?
Technical skills:
- Demonstrated ability to apply a deep understanding of the Bank’s business model, financial products, and the practical application of compliance frameworks across trading, custody, and banking operations.
- Hold a sound knowledge of financial services regulatory requirements, including ASIC, APRA, ASX, NZX, FMA and AUSTRAC, alongside industry association guidelines.
- Prior Compliance responsibility with AU licensed exchange participant (ASX, TMX) with demonstrable expertise and proven track record of engagement with business by way of provision of regulatory advice, compliance LOD2 oversight and guidance in development of controls and framework associated with all relevant trading and sales regulations, including those for OTC and listed derivatives.
- Hold a university degree in Business, Law, or Commerce, with postgraduate qualifications in law or financial markets being highly advantageous. Provide evidence of technical specialization or ongoing professional development in fields such as Compliance Management.
Qualitative skills:
- Demonstrate a proven track record of working effectively within fast-paced and agile business environments, exhibiting strong professional judgment in prioritizing workloads, delivering business advice, and managing escalations.
- Demonstrated ability to work independently and proactively to manage compliance risks and provide strategic advice
- Demonstrated ability to apply professional judgement whilst operating within appropriate risk based boundaries.
- Strong communicator with an ability to succinctly and clearly explain complex regulatory topics and engage effectively with all levels of management.
- Demonstrate a continuous improvement mindset.
- Ability to digest and interpret the application of regulations, compliance policies and procedures and advise the business on the same.
- Demonstrable strength in collaboration across both business and functional lines and geographical locations. Proven track record working as part of a global function, with the ability to proactively and effectively engage, work closely in alignment with global, regional, business line and domain colleagues and SMEs.