Work with the CLC

Regulatory Supervision Officer

Reporting to the Deputy Director of Regulatory Standards, you will in your role as a Regulatory Supervision Officer join a close-knit team of specialists and assist them in the delivery of the CLC’s key supervisory objectives.

The core role includes:

• Preparing for and assisting with all aspects of the monitoring inspection process, including on-site inspections
• Identifying breaches of the CLC’s Codes via ongoing monitoring of reconciliations, accountant’s reports and other monitoring tools used by the CLC, making appropriate recommendations to the RSMs and assisting in ensuring practices take appropriate remedial action
• Drafting accurate, concise reports to practices on compliance
• Ensuring management information is maintained accurately and is up to date, including in relation to practice AML compliance and accountants’ reports
• Assisting misconduct investigations and preparing disciplinary cases for adjudication or enforcement under the CLC’s ABS Framework
• Assisting with the investigation and determination of Compensation Fund claims and complaints
• Performing Anti Money Laundering (AML) reviews and assessments on practices
• Managing the CLC Monitoring Inbox, responding to and forwarding enquiries as appropriate as well as being a valuable point of contact on regulatory queries from practices, other stakeholders and the general public
• Project work including data collection, analysis and reporting and supporting other members of the team when required
• Act as a member of the CLC Intervention Team when required

Find out more and apply

You can view our CLC Organisation Chart 2022.