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April

Compliance Analyst - 9 Month Contract

BNP Paribas - Sydney, NSW

Banking & Finance
Source: uWorkin

JOB DESCRIPTION

Description Of The Department

A central team of technical experts, the Compliance team provide specialised services and expertise on technical areas on Compliance topics, such as financial security, professional ethics, market integrity, protecting interests of clients, Group policy and local regulatory obligations. They work closely with the heads of the business and partner with the various leadership teams providing technical advice and support.

Mission: is the effective management of key regulatory risk through appropriate level of controls over the business. Compliance is responsible for the review, development and oversight of ethical practices, internal policy, and legal and regulatory requirements implementation. We provide assurance on the subsequent compliance of same and / or monitor and oversee the resolution of any identified issues of non-compliance or areas of key risk. We act as a liaison for external regulators, auditors and industry bodies.

Summary Of The Role

The Compliance Analyst and Management Support is an entry point into the compliance function. It assists the Compliance Team in providing the necessary guidance, support and decisions so that the local and Group Compliance rules are implemented. This position also acts as the ‘office manager’ for the Compliance Function, assisting with travel, stationary, expense reimbursement and other administrative functions required to support the Compliance team.

Key Responsibilties

  • Governance: coordinating compliance related governance meetings – scheduling meetings, data gathering, documents preparation, minutes, tracking action items, etc. Meetings include, but not limited to:
    • Incident Review Committee (weekly)
    • (BP2S) Compliance management dashboard (monthly)
    • Territory Management Meeting (monthly)
    • BP2S Board / Supervisory Committee (quarterly)
    • Internal Control Committee (quarterly)
    • Compliance Committee (half-yearly)
  • Financial Security :
    • Alert Management (level 1)
    • Australia and New Zealand sanction black list maintenance within BNPP Group tools
  • Financial: supporting the financial budget process and budget reforecasts.
  • Assurance: scheduling, ownership / control allocation maintenance, response tracking and follow-up, analysis, identification of action item and associated tracking and follow up, etc) of:
    • Administering the quarterly Compliance Self-assurance program
    • Administering the quarterly Compliance Client Certificate
  • Awareness: (maintenance of content, allocation, tracking, follow-up)
    • Administering Compliance training program
    • Administering Compliance internal website
  • Reporting: Compliance KPI / KRI reporting
  • Projects: Contributing to compliance related projects when required
  • Office management: assisting with booking travel, expense reimbursement, procurement, etc


Qualifications & Experience Required For The Role
  • Degree qualified in Business, Law or Commerce
  • Proficient in Microsoft office (MS word, Excel and PowerPoint)


Technical Skills Required For The Role

Preferred prior Financial Services experience of 2 years + (general understanding of a Financial Service Provider’s / Bank’s:- operations, services / products, etc)

Core Competencies Required For The Role
  • Analytical Skills
  • Attention to detail / Accuracy
  • Client focus
  • Communication
  • Creativity / Innovation
  • Teamwork


Primary Location

AU-NSW-Sydney

Job Type

Fixed Term

Job

COMPLIANCE

Education Level

Other Degrees / Certifications / Vocational, Technical or Professional Qualifications

Experience Level

At least 2 years