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Head of Private Banking Compliance

  • Sydney Based
  • Top-Tier Financial Institution
  • Dynamic Culture

Our client is a leading financial services firm that offers a range of investment banking, asset management, and wealth management services to its clients. With an outstanding record of success in Asia Pacific, this is a fantastic opportunity for an experienced compliance professional to join the Compliance team.

The key responsibilities for this position are as follows:

  • Proactively manage the compliance oversight and regulatory risk of the Australian Private Banking business.
  • Ensure appropriate and timely escalation of issue, support and collaboration on regional initiatives.
  • Advice the business on regulatory requirements.
  • Escalation to senior management of relevant regulatory risks.
  • Ensure marketing materials meet applicable bank and regulatory standards.
  • Liaise with other Compliance teams to ensure a seamless delivery of regulatory advice to the business.
  • Maintain a professional working relationship with regulators and other key stakeholders.
  • Act as the primary coordinator and advisor for on-site and off-site examinations, investigations and regulatory enquiries.

Successful applicants will have the following skills and experience:

  • Degree qualified, with a at least 10 years of compliance experience gain in a leading banking.
  • Strong experience in Private Banking or Wealth Management is essential.
  • Strong understanding of Australian rules and regulations will be highly regarded.
  • A team player with a dedication to quality.
  • Strong analytical and organisational skills are essential.
  • Strong management experience with a track record in leading teams of high caliber compliance professionals.
  • Excellent interpersonal skills with the ability to work effectively with people across the region.

Information provided is for recruitment purposes only.

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