Manager, Business Compliance and Governance

Job Description

The ideal candidate will:

• Drive and embed a strong culture of responsible conduct, fair dealing and risk ownership across Community Financial Services (CFS).
• Provide governance and independent oversight of CFS processes, sales advisory activities and customer interactions to ensure alignment with regulatory requirements, internal policies and expected conduct standards.
• Leverage assurance, monitoring, data analytics, training and stakeholder engagement to identify emerging risks, influence behaviours, strengthen supervisory effectiveness and improve customer outcomes.

Job Responsibilities

1.Culture and Conduct

• Drive the CFS Culture and Conduct Framework and embed expected behaviours across the business.
• Promote a culture of accountability, customer-centricity and responsible risk-taking.
• Identify conduct themes, behavioural risks and root causes through assurance, complaints, incidents and monitoring activities.
• Drive targeted interventions to strengthen culture, conduct and supervisory effectiveness.
• Provide management reporting and insights on culture and conduct trends.
• Strong culture of accountability, ethical behaviour and responsible sales practices.

2.Governance & Preventive Controls

• Govern end-to-end CFS processes and ensure alignment with regulatory requirements and internal policies.
• Review new and existing processes to identify control gaps, conduct risks and customer impact.
• Recommend practical control enhancements to strengthen governance and risk management.
• Support implementation of key governance, conduct and regulatory initiatives.

3.Independent Oversight & Assurance

• Conduct independent reviews of sales advisory activities, processes and exceptional cases.
• Oversee assurance activities including documentation reviews, voice-log reviews and thematic assessments.
• Assess severity, identify root causes and determine potential customer, regulatory and reputational impact.
• Monitor remediation actions and recurring trends.

4. Sales Advisory & Fair Dealing Governance

• Govern the sales advisory framework to ensure compliance with regulatory and internal requirements.
• Lead enhancements to sales advisory processes, systems and supervisory controls.
• Provide guidance and training to Appointed Representatives and supervisors.
• Assess sales practices and customer interactions against Fair Dealing principles and expected conduct standards.
• Drive initiatives that support fair customer outcomes, appropriate sales practices and customer protection.

5.Insights, Reporting & Stakeholder Management

• Analyse complaints, incidents, assurance findings and conduct indicators to identify emerging risks and trends.
• Provide actionable insights and recommendations to senior management and governance committees.
• Partner business, Compliance, Risk and other stakeholders to strengthen governance, conduct and customer outcomes.
• Drive awareness through training, communications and sharing of lessons learnt.

Qualification

• Recognised Bachelor's Degree in Banking, Finance, Business, Law or equivalent.
• Strong knowledge of capital market products, structured products and derivatives.
• Minimum 10 years experience in Consumer Banking, Wealth Management, Compliance, Risk, Audit or Governance.
• Strong understanding of sales advisory frameworks, Fair Dealing requirements, conduct risk and customer outcome principles.
• Experience interacting with senior management, governance committees and regulators.
• Proven track record in leading governance, conduct, risk or transformation initiatives.

Competencies

• Strong understanding of regulatory requirements, conduct risk and Fair Dealing expectations.
• Possesses strong logical, critical and analytical thinking skills.
• Strong judgement with the ability to make independent, balanced and risk-based decisions.
• Ability to identify emerging risks, root causes and systemic issues.
• Effective stakeholder management and influencing skills across business and control functions.
• Meticulous in documenting assessments, governance decisions and business processes.
• Strong written and verbal communication skills.
• Ability to lead change and drive a culture of accountability, risk ownership and responsible conduct.
• Able to work independently and manage multiple priorities in a fast-paced environment.

*Only shortlisted candidates will be identified.