Compliance Associate


: $165,260.00 - $165,260.00 /year *

Employment Type

: Full-Time


: Legal

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The Compliance Associate?s day to day responsibilities will:

Complete HO and Compliance reporting requirements
Monitor and track Banking's compliance with policies and procedures
Conduct testing of controls to determine effectiveness within the first line of defense, as well as to develop creative automated solutions to address testing needs and present information in a concise and comprehensive manner
Draft and update policies and procedures, and prepare training materials
Provide real time advice / guidance on policy, procedure and / or regulatory requirements to the business
Review marketing materials prior to external distribution in order to determine compliance with policy, procedure and regulatory requirements
Prepare monthly reports of compliance metrics to Banking senior management
Fulfill role of Banking's key risk contact for certain key risk categories within the Operational Risk framework
Assist with monthly key risk assessments as part of the overall Operational Risk framework within NAB
Assist in responding to information requests from internal audit, internal testing teams, as well as external auditors
Coordinate and document results of Reputational Risk Reviews within Banking
Assist in the drafting and updating of policies and procedures
Identify, analyze and escalate compliance and/or regulatory issues within NAB to determine their root cause and work with others to resolve the issues
Assist with the implementation of changes to the Compliance Risk Management platform, as well as internal policies and procedures, to understand impact and ensure compliance review procedures are updated as appropriate.
Stay current on regulatory changes
Interact and maintain highly effective partnerships with line of business management and staff
Provide assistance, support and management of other projects as assigned


5+ years of relevant work experience
Series 7 and Series 24 required or the ability to obtain the Series 7 and 24 within the first 6 months of employment
Broad working knowledge of laws and regulations related to areas of assignment
Demonstrated ability to develop project plans and independently coordinate and complete projects in a timely manner
Strong Critical Thinking and Problem Solving Skills
Ability to analyze complex laws and regulations
Quick and accurate reading comprehension
Efficient and Accurate record keeping
Strong written and verbal communication skills including a demonstrated ability to clearly provide written reports that accurately and clearly summarize issues and present solutions in an understandable and logical manner
Ability to influence others? actions and decisions without express of authority
Proficiency in Microsoft Office Suite and other utility applications (e.g., Adobe Acrobat, PowerPoint, and Excel)

Bachelor?s degree, JD preferred
Associated topics: attorney, attorney corporate, compliance department, corporate, court, internal, lawyer, legal, llp, market * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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