Consultant Gig 993SYDNEYBanking and Investments Compliance
Consultant Gig 993SYDNEYBanking and Investments Compliance
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Job Description
Client
A new client for ICG has asked for assistance toproactively upgrade their compliance capabilitiesover the next few months.
Scope of Review
1.Regulatory Framework Assessment
Evaluate current external Acts Regulations and other compliance obligations applicable as a listed lender and a registered managed investment provider. Highlight any missing areas and areas for improvement.
Review our internal compliance policies and identify any missing policy areas and areas for improvement.
2.Compliance Program Evaluation
Review and evaluate the current compliance program and operations (including the structure and resources of the compliance team).
Identify any missing or risk areas and/or areas for improvement.
3.Risk Assessment
Identify and evaluate potential compliance risks and gaps across business operations.
Identify regulations with the most material financial or reputational penalty for noncompliance or breach for prioritisation.
4.Monitoring and Reporting Mechanisms
Examine current companywide monitoring practices for compliance adherence.
Evaluate reporting channels for compliance incidents and breaches.
5.Stakeholder Engagement
Gather feedback from stakeholders including employees management and external partners on the effectiveness of the compliance function.
Assess the relationships and communication between the compliance function and other departments
Key Deliverables
Expected Outcomes
1.Gap Identification
List of compliance gaps including regulatory noncompliance insufficient training and ineffective monitoring mechanisms.
2.Recommendations
Develop actionable recommendations to address identified gaps and improvements.
Provide recommendation(s) on what a companywide compliance function could look like including structure roles and operation.
Deliverables
A detailed report summarizing findings from the review.
An ongoing compliance improvement action plan.
An optional extra to create and run a diagnostic compliance survey as part of this work
Skills and experience required
Principal or partner level consultant at Big Four
10 years experience in financial services compliance
Expertise across secured and unsecured lending and cash based investment products
Professional engagement with CSuite executives
Start date:Early FebruaryDuration:34 Weeks
Rate:The daily rate to the consultant will be AUD$1850 per day reflecting the seniority required
http://internalconsulting/applynow/
If you are aware of a suitable candidate for the role please forward on.
Required Experience:
Contract
Employment Type
Full-Time
