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Compliance Executive

Commonwealth Bank - Sydney, NSW

Banking & Finance
Source: uWorkin


Compliance Executive, Business Banking Distribution and Advisory

See yourself in our team:

The BPB Operational Risk and Compliance (OR&C) Line 2 team provides advice and support to the Business Customer Solutions and Business Banking (BB) Distribution segments in implementing and embedding the Operational Risk Management Framework (ORMF) and Compliance Management Framework (CMF).

Through on the job training and coaching from your manager you will develop your skills on persuading and influencing, being a credible partner, providing insights and judgement and effective challenge.

Do work that matters:

Reporting to the Executive Manager, BB Distribution and Advisory Compliance, you will take the lead in delivering consistent and fit for purpose Compliance management practices for the Small Business Banking Mass Managed segments (made up of Business Home Lending, Broker and Agency Sales, Business Banking Services and Small Business Sales and Service) as well as for the broader Group and BB-wide initiatives supporting BB’s ambitious growth agenda.

This role is a manager level role who will be a subject matter expert in the relevant obligations and related policies, standard and procedures relevant to their Business Banking and Support Unit stakeholders.

You will demonstrate skills in :

  • building and maintaining relationships based on trust (Credible Partner);
  • proactive influencing with credibility and authority to achieve optimal risk outcomes by adapting style and escalating when needed (Persuading and Influencing); and,
  • welcoming and managing conflict with confidence and authority in order to get solutions (Effectively Challenges).

Your responsibilities will include :

  • Acting in a manner consistent with CBA's Values and Code of Conduct.
  • Building strategic relationships across Business Banking (BB) divisions, providing regulatory insights and advice on new and existing regulatory obligations.
  • Executing against Compliance Management accountabilities and driving consistent and sustainable implementation of the Compliance Management Framework (CMF) and related policies and standards across the Group.
  • Contributing to regular reporting to relevant senior executive governance forums and participating in key BB governance and non-financial risk forums to identify and discuss thematic trends in the business and provide guidance on matters that impact decision-making.
  • Managing and advising on regulatory engagements, including overseeing BB breach notifications and responses to regulatory notices in a timely manner.
  • Contributing to the design and delivery of relevant, fit for purpose compliance management learning, policies and framework across all of BB.
  • Conducting “deep dives” into areas of potential concern.
  • Implementing and embedding framework changes across the Group by gaining appropriate stakeholder buy-in and sign-off and building excellent stakeholder relationships.
  • Offering advice into current state versus best practice in peer organisations and advising the business and supporting teams of the requirements of the current expectations.
  • Oversight and providing insightful advice and effective challenge of BU/SU implementation of the CMF including Issue Management, Incident Management, Regulatory Change and Engagement, Risk and Controls, RiskInChange, Obligations Management and Compliance Reporting.
  • Providing guidance and data based insights to BU/SU Compliance teams on Compliance Management best practice and various elements of the CMF and related policies, standards and procedures.
  • Undertaking analysis on the CMF and developing insights to support the L2 BU/SU reporting process.

We’re interested in hearing from people who possess:

  • Demonstrated understanding of relevant laws and regulations within financial services.
  • Strong commercial understanding of banking products, processes, customers and distribution channels.
  • Relevant tertiary qualifications in Law or Finance.

If you're already part of the Commonwealth Bank Group (including Bankwest), you'll need to apply through Sidekick to submit a valid application. We’re keen to support you with the next step in your career.

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Advertising End Date: 29/04/2021