Manager II, Controls & Compliance

Job Title: Manager II, Controls & Compliance Job Description The role requires specific ASIC-recognized Australian financial services experience across banking operations, products, compliance, and complaints. Current internal resources have been assessed and do not fully meet the regulatory qualification requirements. Regulatory Governance & AFSL Oversight

• Act as a nominated Responsible Manager for authorised retail banking activities conducted under the AFSL.
• Ensure services operate within approved AFSL authorisations and the defined no-advice operating model.
• Maintain a clear distinction between administrative support, factual information, general information and personal financial product advice.
• Identify and address activities that may create regulatory, conduct, compliance or AFSL risk.
• Support compliance reviews, audits, regulatory enquiries and governance forums.
• Maintain evidence demonstrating relevant competence, oversight and regulatory compliance.
• Review and challenge governance frameworks supporting retail banking operations. Operational Management
• Lead day-to-day retail banking operational functions and customer service delivery.
• Oversee transaction accounts, savings accounts, everyday banking products, debit card servicing, term deposit servicing, account maintenance and account closure activities.
• Ensure procedures, work instructions, scripts and customer interactions comply with approved requirements.
• Drive operational excellence through process improvement, performance monitoring and control effectiveness reviews.
• Manage service risks, escalations, operational incidents and customer-impact assessments.
• Prepare clear operational performance and management reporting. Risk, Compliance & Conduct Management
• Monitor operational risk and conduct-risk obligations.
• Oversee issue management, incident management, breach identification and escalation, complaints management, quality assurance and control monitoring. POSITION DESCRIPTION | AFSL OPERATIONS Confidential | Page 2
• Review complaints, disputes, vulnerable customer escalations and customer detriment risks.
• Ensure material issues are escalated in a timely manner to appropriate governance forums and stakeholders.
• Support remediation and corrective action activities where required. Quality Assurance & Competency Management
• Provide oversight of training and competency frameworks for regulated activities.
• Review and challenge service procedures, training materials, call scripts, knowledge articles and operational controls.
• Ensure employees demonstrate competency in retail banking products and no-advice service delivery requirements.
• Support quality assurance reviews, evidence collection and documented competency assessments. Stakeholder Management
• Partner with Operations, Compliance, Risk, Legal, Quality Assurance, Learning & Development and Client Governance teams.
• Participate in governance committees and regulatory oversight forums.
• Present operational, risk, compliance and quality outcomes to senior leadership and client stakeholders.
• Provide subject matter expertise on retail banking operations and AFSL obligations Location: IND Bangalore - Embassy Manyata Business Park 4th Flr, Block F2 Language Requirements: Time Type: Full time