Compliance Analyst

Apex Group Ltd

Sydney

2 days ago

Sydney

2 days ago

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Compliance Analyst

Compliance Analyst at Apex Group to coordinate compliance reporting, internal audits, AML monitoring, and incident investigations. Requires experience in funds services industry and knowledge of AUSTRAC requirements.

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Hybrid

Full-time

Entry Level

AML

AUSTRAC Requirements

Salary

Not specified

Work Location

Sydney, New South Wales, Australia, AU

Work Model

Hybrid

Experience Required

1 years

Employment Type

Full-time

Experience Level

1+ years in AML or compliance role

Core Qualifications

Technical (Must-have)

AMLAUSTRAC requirementsregulatory and legislative requirementscompliance reportinginternal auditscontrol testing

Key Responsibilities

•Completion of annual due diligence questionnaires
•Co-ordination of supplier due diligence questionnaires
•Preparation of compliance letters for clients
•Reporting on complaints, incidents and breaches
•Investigations of incidents and working with the business to implement solutions
•Partner with the business to develop processes and procedures that improve the quality of service to our clients
•Assist with the development and implementation of compliance policies and procedures
•Drafting training material for compliance training
•Coordinate the training on processes and procedures for the teams
•Implement and conduct control testing of processes and procedures
•Coordinate and conduct internal audits
•Review legislative changes that affect Mainstream operations and develop compliance solutions
•Provide regular compliance reporting
•Stay current with regulatory and legislative changes and participate in industry groups
•Perform ongoing Anti Money Laundering (AML) monitoring obligations and reporting
•Co-ordinate completeness of regulatory records of transitions

ComplianceAnalystFinancial ServicesLegalAMLAUSTRACFunds ServicesSydneyFull-timeHybrid

Key Responsibilities

•Completion of annual due diligence questionnaires

•Co-ordination of supplier due diligence questionnaires

•Preparation of compliance letters for clients

•Reporting on complaints, incidents and breaches

•Investigations of incidents and working with the business to implement solutions

•Partner with the business to develop processes and procedures that improve the quality of service to our clients

•Assist with the development and implementation of compliance policies and procedures

•Drafting training material for compliance training

•Coordinate the training on processes and procedures for the teams

•Implement and conduct control testing of processes and procedures

•Coordinate and conduct internal audits

•Review legislative changes that affect Mainstream operations and develop compliance solutions

•Provide regular compliance reporting

•Stay current with regulatory and legislative changes and participate in industry groups

•Perform ongoing Anti Money Laundering (AML) monitoring obligations and reporting

•Co-ordinate completeness of regulatory records of transitions