Compliance Lead, Australia

  • Competitive
  • Melbourne, Victoria, Australia
  • Permanent, Full time
  • S&P Global
  • 15 Nov 18

Compliance Lead, Australia

JobDescription :
The Role: Compliance Lead, Australia

The Location: Melbourne - Australia

The Team/ The Business: The Asia Pacific Compliance team of S&P Global Ratings is primarily responsible for providing compliance coverage for our offices across the APAC region.

What's in it for you: The successful candidate will have the opportunity and will be responsible to liaise with regulators, the Australian Securities & Investments Commission ("ASIC") as well as supporting the development and implementation of the compliance program for the Asia Pacific region. The candidate will also be required to interact with Compliance counterparts, Legal and Regulatory Affairs Department globally as well as in the region.


  • Provide advice on compliance and regulatory matters, review new business and operational initiatives, and participate in relevant committees.
  • Support the establishment and/or enhancement of policies and procedures as well as their implementation.
  • Manage interactions with ASIC including regulatory filings, collating and coordinating responses to regulatory queries, addressing recommendations arising from regulatory surveillance and/or examinations.
  • Assist in the development of compliance training and ongoing communications that promote heightened awareness of codes of conduct, policies and procedures, and the understanding of compliance issues.
  • Review and monitor adherence to regulatory requirements, policies and procedures.
  • Participate in ad-hoc compliance examinations and reviews.
  • Collaborate with the 2nd line and 3rd lines of defense functions to ensure that issues being escalated are followed up and resolved appropriately. Consult with Legal & Regulatory Affairs Department, as needed, to resolve complex regulatory and compliance issues.

What we're looking for:
  • A bachelor's degree or equivalent.
  • At least 5 years of compliance experience with banks or financial services firm.
  • Experience in working in and/or dealing with regulatory bodies.
  • Good interpersonal and negotiation skills; ability to drive consensus across business groups and deal with challenging situations at all levels of the business in a resilient, confident and practical manner.
  • Good presentation, writing and analytical skills; able to understand and communicate industry rules and regulations effectively to employees at all levels of the business.
  • Self-motivated and well-organized; diligent and attentive to details; able to prioritize tasks and work well under pressure.
  • Ability to judge between the commercial needs of the businesses and the constraints of the regulatory and compliance requirements, and make decisions accordingly

About S&P Global Ratings

S&P Global Ratings is the world's leading provider of independent credit ratings. Our ratings are essential to driving growth, providing transparency and helping educate market participants so they can make decisions with confidence. We have more than 1 million credit ratings outstanding on government, corporate, financial sector and structured finance entities and securities. We offer an independent view of the market built on a unique combination of broad perspective and local insight. We provide our opinions and research about relative credit risk; market participants gain independent information to help support the growth of transparent, liquid debt markets worldwide.

S&P Global Ratings is a division of S&P Global (NYSE: SPGI), which provides essential intelligence for individuals, companies and governments to make decisions with confidence.For more information, visit

S&P Global is an equal opportunity employer committed to making all employment decisions without regard to race/ethnicity, gender, pregnancy, gender identity or expression, color, creed, religion, national origin, age, disability, marital status (including domestic partnerships and civil unions), sexual orientation, military veteran status, unemployment status, or other legally protected categories, subject to applicable law.