Advisor, Compliance Assurance

Barrenjoey’s has established a ‘three lines of defence’ organisational structure that aims to ensure appropriate separation of functions and clarity around roles and responsibilities. This supports a strong risk culture ensuring each risk is identified, assessed, monitored, and mitigated effectively. The business, as part of the 1st Line, is accountable for the risks that it creates and takes. Compliance & AFC is a 2nd Line of Defence control function which seeks to provide independent oversight and challenge of risk-taking activities to protect Barrenjoey’s integrity, reputation and licenses to operate.

The Compliance Assurance Advisor is responsible for performing independent testing and ongoing monitoring against  Barrenjoey’s key controls across 1st and 2nd Line with a regulatory nexus. The responsibilities of the role will include:

• Developing the Compliance Assurance Program through risk assessment of businesses, regulatory obligations and other risk drivers to ensure there is adequate coverage of the firm’s risk and control processes.


• Execute on the Compliance Assurance Program, develop design and operating control tests to assess effectiveness of the risk, control against regulatory obligations.


• Utilise innovative data analytics capabilities in building automated controls testing to increase coverage.


• Consistently develop, execute and deliver Compliance Assurance Reports in a timely manner in accordance with industry standards.


• Build dashboards for ongoing monitoring and independent risk assessment of the risk and control environment.


• Liaise with technology and support functions in the roll out of dashboards and tooling.


• Produce report findings and negotiate control issues with key business stakeholders.


• Develop effective relationships with Compliance function, business stakeholders, Risk, other infrastructure functions and Internal Audit.


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  Identify industry best practices and sharing insights within Compliance and stakeholders on a regular basis.
  
  
   
  
  


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  Awareness of the regulatory environment and regulatory obligations impacting upon Barrenjoey in its day-to-day business.
  
  
   
  
  


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  Scanning the global regulatory landscape to keep up to date of potential impacts to risks and controls.
  
  

About You

• Bachelor’s degree in Finance, Accounting, Mathematics, Data Science or relevant discipline


• Minimum 6+ years of experience within Audit or Compliance Testing preferred


• Strong risk management mindset


• Good working knowledge of markets products, global regulatory environment, relevant rules and regulations.


• Data Analytics, specifically of Python, SQL, Power Bi and Databricks


• Ability and keen interest in utilizing AI


• Excellent verbal, written and negotiation skills


• Strong team player with a positive approach to challenging situations