Compliance Assurance Advisor

About the role

Barrenjoey operates a three lines of defence structure, with Compliance & AFC as a second line of defence providing independent oversight of risk-taking activities. The Compliance Assurance Advisor performs independent testing and ongoing monitoring of key controls across the first and second lines, with a regulatory focus.

Key responsibilities

• Develop the Compliance Assurance Program by assessing business risks, regulatory obligations and other risk drivers.
• Design and run control tests to assess the effectiveness of risk and control against regulatory obligations.
• Use data analytics to build automated controls testing and increase coverage.
• Deliver Compliance Assurance Reports on time in line with industry standards.
• Build dashboards for ongoing monitoring and independent risk assessment, and liaise with technology and support teams on their rollout.
• Negotiate control issues with business stakeholders and work with Compliance, Risk, Internal Audit and other functions.
• Share insights on industry best practice with Compliance and stakeholders.

Required profile

• Bachelor's degree in Finance, Accounting, Mathematics, Data Science or a relevant discipline.
• At least 6 years of experience in audit or compliance testing preferred.
• Strong risk management mindset and good knowledge of markets, products and the global regulatory environment.
• Excellent verbal, written and negotiation skills; strong team player.

Required skills

• Data analytics with Python, SQL, Power BI and Databricks.
• Interest in using AI.