You will be involved in conducting reviews across various compliance processes using risk-based sampling methodologies to ensure accuracy and adherence to established standards, playing a critical role in reviewing and improving team processes, driving greater efficiency, and promoting consistency across compliance operations. You will also be responsible for tracking, monitoring and validating remediation actions, ensuring that identified issues are resolved in a timely and appropriate manner.
Additionally, you will design, document and implement quality control testing procedures for both new and existing operations and compliance activities, as well as identify trends, recurring issues and potential areas for improvement, while recommending practical enhancements to processes, controls and governance frameworks. You will prepare clear, accurate and timely documentation and reports outlining review findings, outcomes and corrective actions to support compliance oversight and management.
You will also support the development and delivery of training initiatives to strengthen compliance awareness across the organisation, and provide operational support in areas such as monitoring employee trade accounts, identifying and investigating unusual activities, policy exceptions and potential breaches, and ensuring timely resolution in line with internal compliance policies. Furthermore, you will offer advisory support by responding to staff inquiries related to personal compliance via email and phone, providing accurate and timely guidance. You will also assist in fulfilling licensing and regulatory requirements, including reporting obligations, as well as maintaining comprehensive oversight and monitoring processes. Finally, you will be expected to undertake additional tasks and responsibilities as assigned to support the broader priorities of the team and the business.
