Compliance Officer (Mat Leave Cover)

Job description

- Support the compliance program to ensure adherence to relevant regulatory registrations and licensing requirements within the securities industry - Assist in providing guidance on AML/CTF and sanctions obligations, supporting the Money Laundering Reporting Officer (MLRO) - Participate in AML investigations and assist in the timely submission of Suspicious Matter Reports (SMRs) to AUSTRAC - Conduct enhanced due diligence (EDD) on high-risk customer relationships to ensure regulatory compliance - Assist in fraud and scam investigations, ensuring appropriate tracking, escalation, and reporting - Support the investigation and resolution of customer complaints, compliance incidents, and potential breaches, including IDR and EDR matters - Contribute to the development and delivery of compliance training and awareness initiatives - Draft, review, and update compliance policies, procedures, and internal guidelines to ensure alignment with regulatory requirements and business practices - Assist in maintaining and enhancing the compliance policy framework, including periodic reviews and version control - Support the compliance monitoring program by identifying risks and assisting in the im...