Compliance Manager - Advisory (Investigation, Breach and Dispute Resolution)
On-siteSydney, New South Wales, Australia
Job Summary
Investigate potential compliance breaches and significant customer complaints, conducting detailed assessments of regulatory obligations and risks. Prepare written assessments and recommendations for senior stakeholders regarding control gaps and remediation actions. Identify root causes and weaknesses to support continuous improvement of compliance frameworks, policies, and processes. Deliver guidance and subject matter expertise to business leaders while supporting regulatory change initiatives and new product reviews. This role sits within The Conduct, Compliance & Ethics team, where you will help strengthen ING's compliance framework and foster a culture of ethical decision-making across the business.
Required Qualifications
- 5+ years of relevant experience in compliance or legal roles in the financial services industry
- Ability to lead investigations and provide a high standard of written / verbal communication to senior leadership
- Experience in investigations into non-compliance with financial sector legislation
- Ability to communicate with business stakeholders and influence when needed in a professional manner
- Excellent understanding of operational risks and control frameworks in retail Banking
Desired Qualifications
- Previous experience working for either ASIC or APRA
- a trained Lawyer
- Broad retail and wholesale banking product knowledge (preferable)
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