Compliance Analyst M/F

The Compliance Analyst supports the Head of Compliance/Local Compliance Officer (LCO) in executing the Branch's compliance framework, with a primary focus on Anti-Money Laundering (AML), Countering the Financing of Terrorism (CFT), and Know Your Client (KYC) obligations.

This role is critical in safeguarding the organisation against financial crime risk and ensuring adherence to Australian Prudential standards. This encompasses activities across the different Compliance areas: AML/CTF/KYC, Sanctions, Privacy, Corporations Act, Prudential Standards and international laws.

You will be required to execute Transaction Monitoring, Sanctions Screening and Compliance Control Plan in accordance with relevant regulatory requirements, as well as advice provision on established policies and procedures. Regulatory project management may also be required which will require timeline, action point driving and project governance facilitation work.

Key Responsibilities

• Monitor and assess AML/CFT typologies and red flags to proactively identify and mitigate emerging financial crime risks
• Provide comprehensive AML/CFT compliance opinions on higher-risk files, transactions, and business activities
• Review, investigate, and process alerts generated by transaction monitoring systems (Fircosoft) in line with Group sanction requirements
• Conduct searches on transactions and files via Factiva Dow Jones and Worldcheck
• Conduct Enhanced Due Diligence (EDD) on high-risk clients, Politically Exposed Persons (PEPs), and complex ownership structures
• Identify, assess, and escalate suspicious matters in accordance with AUSTRAC reporting obligations, including Suspicious Matter Reports (SMRs) and Threshold Transaction Reports (TTRs)
• Assist in maintaining and updating the Branch's AML/CTF Program in line with the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (Cth)
• Prepare the draft compliance opinion form and conduct the consistency checking on KYC documents
• Involvement in regulatory projects with reference to project management aspects such as reporting, timeline progression and meeting governance
• Assist in providing policy, procedure and compliance advice to the business lines and support functions
• Collaborate with regional and Head Office teams to seek advice and drive consistency across the Group and APAC region
• Ensure timely completion and submission of reports and documents to the Australian regulators (where the reporting / submission is connected to CPL themes and topics)
• Devise a business-oriented compliance culture via training facilitation
• Ensure proper and timely tracking and closure of internal audit and regulatory observations / recommendations
• Perform compliance monitoring / testing / control

Key Contacts

• Local Business Lines and Support Functions teams,
• Compliance’s Financial Security (Regional and Global) teams,
• AUSTRAC, ASIC, RBNZ, APRA (as required)

Systems Used

• KIWIS: KYC client data management
• Actimize AML: Transaction monitoring & AML alerts
• Fircosoft / Fircosoft Trust: Sanctions filtering & alert processing
• Cosmos Controls: Compliance controls management
• Factiva Dow Jones: Adverse media & client searches
• WorldCheck: transactions & files screening

Legal and Regulatory Responsibilities

• Comply with all applicable legal, regulatory and internal Compliance requirements
• Complete any mandatory training in line with legal, regulatory and internal Compliance requirements
• Maintain appropriate knowledge to ensure to be fully qualified to undertake the role
• Complete all mandatory training as required to attain and maintain competence
• Refrain from taking any steps which could lead to the removal of certification of fitness and properness to perform the role
• Undertake all necessary steps to satisfy the annual certification process
• Comply with all applicable conduct rules as prescribed by the relevant regulator

CACIB embraces diversity and encourages applications from people with disability. We are committed to making reasonable adjustments to provide a positive, barrier-free recruitment process and supportive workplace.