Prab S. Email & Phone Number

Prab S. is a Senior Compliance Analyst at Macquarie Group. They possess expertise in powerpoint, anti money laundering, banking complaints handling, travel insurance compliance, windows and 24 more skills.

Listed skills include Powerpoint, Anti Money Laundering, Banking Complaints Handling, Travel Insurance Compliance, and 25 others.

• 

  Senior Compliance Analyst

  Macquarie Group

  Jun 2023 - Present - Sydney, New South Wales, Australia

  • Assist Framework Owners in effective implementation and oversight of Compliance Frameworks for material compliance risk types i.e. client assets & client money, duty to clients, conflicts of interest, fit & proper, licensing & cross border activity, and market conduct across all the relevant business groups. • Responsible for maintaining various elements of the Compliance Frameworks to ensure appropriate structures and processes are in place to effectively manage requirements across all… Show more • Assist Framework Owners in effective implementation and oversight of Compliance Frameworks for material compliance risk types i.e. client assets & client money, duty to clients, conflicts of interest, fit & proper, licensing & cross border activity, and market conduct across all the relevant business groups. • Responsible for maintaining various elements of the Compliance Frameworks to ensure appropriate structures and processes are in place to effectively manage requirements across all the relevant business groups. • Responsible for annual controls library review covering risk event - library control mapping, library control - control instance mapping and gap analysis to identify risk events with inadequate controls coverage • Liaise with relevant stakeholders i.e. framework owner, risk sponsor, operational risk, and business compliance to debate review findings and assist in the implementation of changes pertaining to the associated Framework elements. Show less