Generally to work closely with Legal, Risk and Compliance Executive based in Sydney and assist with risk and compliance related activities

Principal Accountabilities:

Complaint Handling

• Assist with handling of complaints (internal and external complaints);
• Assisting with the preparation of complaint reports for Senior Management;

Anti-Money Laundering (AML)

• AML transaction monitoring daily
• Assisting with AML control testing, reviews and audits
• Assisting with AML process and procedures

Risk

• Assist with redraw approvals;
• Assisting with managing identified Risk issues,
• Assisting with handling privacy breaches;
• Risk remediation work;
• Assess Risk & Quality Assurance and checks;
• Assisting with oversight of implementation of Risk process and procedures;
• Critically reviewing and investigating multiple risk registers (such as breach, data privacy breach, escalated external dispute resolution complaints, incident and identified risk registers);
• Assist with client document reviews; and
• Assistance with management of the compliance training portal.

Audit

• Assisting with gathering information for audit requirements

Others

• Action other tasks or duties due to business exigencies or as deemed necessary by Management to achieve business goals

• Understanding of risk and compliance activities in a financial industry
• Strong verbal and written communication skills
• Positive attitude, goal-oriented and self-motivated
• Excellent work ethic
• Ability to work with less supervision; team player
• Good attention to detail; strong understanding of the importance of accuracy and quality
• Ability to work efficiently and effectively, especially under pressure, in a fast-paced environment
• Time management and multi-tasking skills