- Manage and resolve senior and escalated client complaints through the Internal Dispute Resolution (IDR) process
- Provide day-to-day guidance, oversight and mentoring to compliance juniors within the team
- Lead the delivery of compliance and internal audit activities across the business
- Conduct and oversee internal audits, control testing and loan file reviews
- Own and maintain compliance registers, records and action plans, escalating material risks
- Review and update policies, procedures and compliance documentation
- Coordinate and drive monthly compliance monitoring activities and reporting
- Prepare audit working papers, findings and recommendations, and present them to key stakeholders
- Support and help facilitate Compliance Committee meetings and broader governance activities
- Coordinate compliance training programs and maintain training records
- Lead engagement with external auditors and manage regulatory information requests
- Monitor regulatory developments, assess business impact and drive continuous improvement initiatives
- Apply capabilities within a highly technology-focused environment
Requirements
- Experience in compliance, audit, risk, governance or quality assurance, ideally in financial services or another regulated industry
- Demonstrated experience managing complex or escalated client complaints, ideally through an IDR/EDR process
- Experience providing guidance, direction or mentoring to junior team members
- Strong organisational skills and exceptional attention to detail
- Excellent written and verbal communication skills, with confidence engaging senior stakeholders
- Confidence owning policies, documentation and reporting with minimal oversight
- Proactive, solutions-focused mindset
- Strong analytical and problem-solving skills
- High levels of integrity and accountability
- Relevant qualification in Business, Compliance, Risk or a related field highly regarded
Core Competencies
Demonstrates expertise in compliance management, internal auditing, and risk assessment within regulated industries, with a strong focus on client complaint resolution and stakeholder engagement. Proficient in developing and maintaining compliance documentation, training programs, and governance activities.
Highest-signal resume keywords
- Compliance Management
- Internal Auditing
- Client Complaint Resolution
- Regulatory Engagement
- Team Mentoring
ATS Optimization Keywords Hard Skills
- Internal Dispute Resolution
- Control Testing
- Loan File Reviews
- Compliance Monitoring
- Audit Working Papers
- Policy Review
- Risk Assessment
- Governance Activities
- Compliance Documentation
Soft Skills
- Organisational Skills
- Attention to Detail
- Written Communication
- Verbal Communication
- Problem-Solving
Certifications & Qualifications
- Qualification in Business
- Qualification in Compliance
- Qualification in Risk
Industry Keywords
- Financial Services
- Regulated Industry
- Quality Assurance
- Governance
Senior Compliance & Audit Officer employer: Jobtailor
As a Network Engineer with us, you'll thrive in a dynamic work environment that prioritises innovation and collaboration. We offer competitive benefits, a strong focus on employee development, and opportunities to work with cutting-edge technologies while supporting Small and Medium Business clients. Our inclusive culture fosters growth and encourages proactive problem-solving, making it an ideal place for those seeking meaningful and rewarding employment.
