COMPLIANCE officerAward Global

Responsibilities:
GENERAL
Responsible for the timely renewal of ASIC / ACL related requirements
Liaise with law firms for license-related concerns
LICENCE
Prepares the Annual Compliance Certificate (CL50) for the 3 ACLs held
Completes the Industry Funding, AFCA and other ASIC-related reviews
Collects, summarizes and distributes Regulatory Guide updates pertinent to business operations
REGISTERS
Keep and review complaints, breach, referral, policy & procedures registers
Escalates red flags to the Compliance Manager
AUDIT
Create and summarize reports for the executive team
Manages and ensures the timely completion of audits
PROJECT COORDINATION (Temporary Job Expansion)
Coordinate, update, and report projects and process improvements for business operations (Sales, Credit & Customer Service)
Liaise with stakeholders to drive / achieve project milestones
Works with:
Reports to the Compliance Manager
Liaises with other departments and with the Audit Team
Required knowledge:
Filing of Annual Compliance Certificate (CL50) and other licence-related forms to ASIC
Responsible Lending Obligations
NCCP
KYC & AML/CTF
Best Interest Duty
Privacy Act
External Dispute Resolution scheme
Processes Involved:
Audit Policy for S&D
All compliance related Registers
ASIC and Industry requirements
Software/Access:
MS365 E1 Email
MS Teams (WIKI & FILES)
Salesforce, with access to:
Leads, Accounts, and Loan Applications
User Credentials
Banks, Fact Finds, Valuation
Conga Composer & Sign
Credit Quote & External Fees
Mortgage Manager, Broker Credentials
OneDrive Access to loan application documents
Key Performance Indicators:
Monthly and Quarterly reports provided on time
Summary of role requirements:
Looking for candidates available to work on weekdays
1 year of relevant work experience required for this role
Working rights required for this role