At a Glance
- Tasks: Monitor compliance, review financial records, and develop effective compliance procedures.
- Company: Join Decode Group, a leader in financial services compliance.
- Benefits: Competitive salary, professional development, and a supportive work culture.
- Other info: Dynamic role with opportunities for growth and collaboration.
- Why this job: Make a real impact by promoting a strong culture of compliance.
- Qualifications: Experience in compliance or risk management within financial services.
The predicted salary is between 72000 - 88000 $ per year.
Decode Group is seeking a detail-oriented and experienced Compliance Officer to support the company's regulatory compliance framework and ensure adherence to applicable financial services laws, regulations and internal policies. In this role, you will be responsible for monitoring compliance activities, reviewing financial and operational records, identifying potential regulatory risks and supporting the development and implementation of effective compliance procedures. You will work closely with internal stakeholders to assess compliance matters, investigate potential breaches and promote a strong culture of compliance across the organization.
Key Responsibilities
- Monitor and assess compliance with applicable financial services laws, regulations and internal policies.
- Review financial transactions, operational records and compliance documentation to identify potential irregularities or regulatory concerns.
- Conduct compliance reviews, internal audits and investigations into potential breaches or non-compliance.
- Identify, assess and report compliance risks, recommending appropriate corrective actions.
- Assist in maintaining and improving internal compliance policies, procedures and controls.
- Prepare compliance reports, investigation findings and supporting documentation for management review.
- Maintain accurate and confidential records of compliance activities and investigations.
- Liaise with internal stakeholders to provide guidance on compliance requirements and regulatory obligations.
- Support ongoing compliance monitoring and process improvement initiatives.
About You
You are a detail-oriented professional with strong analytical skills, sound judgement and an understanding of regulatory compliance within the financial services industry. You are confident in reviewing financial and operational information, identifying compliance risks and interpreting relevant regulatory requirements. You have strong written and verbal communication skills, with the ability to document findings clearly and work effectively with stakeholders across different departments. You also demonstrate integrity, professionalism and a proactive approach to risk management and compliance improvement.
Essential Requirements
- Relevant experience in compliance, risk management, internal audit or a related function within financial services.
- Understanding of financial services regulatory requirements and compliance obligations.
- Strong analytical, investigative and problem-solving skills.
- Ability to review financial documentation and identify potential compliance issues.
- Strong written communication skills and attention to detail.
- Ability to handle confidential information professionally.
Desirable Qualifications and Experience
- A relevant qualification in Law, Finance, Accounting, Business or a related discipline.
- Experience working within an Australian financial services regulatory environment.
- Familiarity with ASIC regulatory requirements and Australian Financial Services Licence (AFSL) obligations.
- Experience conducting compliance monitoring, regulatory reporting or internal investigations.
- Experience developing or improving compliance policies and procedures.
Compliance Officer in Sydney employer: DecodeFX
Decode Group is an exceptional employer that fosters a collaborative and supportive work culture, making it an ideal place for Compliance Officers to thrive. With a strong commitment to employee growth, the company offers ongoing training and development opportunities, ensuring that staff are well-equipped to navigate the complexities of financial services regulations. Located in a vibrant area, Decode Group provides a dynamic environment where compliance professionals can make a meaningful impact while enjoying a healthy work-life balance.
