Consultant Gig #993–SYDNEY–Banking and Investments Compliance
Core
Proactively upgrade compliance capabilities for a listed lender and registered managed investment provider by assessing regulatory frameworks, evaluating compliance programs, and identifying risks.
Role type
Principal/Partner level compliance consultant
Builds
Compliance improvement action plans and diagnostic reports for financial institutions
Domain
Banking and Investments Compliance
Deliverable
client delivery
Required skills
Regulatory framework assessment, compliance program evaluation, risk assessment, monitoring and reporting mechanisms design, stakeholder engagement, C-Suite executive communication
Preferred skills
Experience with secured and unsecured lending, cash-based investment products
Technologies
N/A
Responsibilities
Evaluate external Acts and regulations applicable to listed lenders and managed investment providers; Review internal compliance policies and identify gaps; Assess current compliance program structure and resources; Identify compliance risks and prioritize based on financial/reputational penalties; Examine monitoring practices and reporting channels; Gather stakeholder feedback on compliance function effectiveness
Seniority
Principal/Partner level, 10+ years experience