Compliance Senior Manager
Consultant Jonathan Berry
Date posted 13 October 2016
Leading Investment Bank is looking for a Compliance Senior Manager to provide compliance support and advice to the financial markets division.
Compliance Senior Manager – Investment Banking – Sydney – Financial Services
Leading Investment Bank is looking for a Senior Manager to provide compliance advice to the financial markets division.
- Compliance advisory to the financial markets business to avoid breaches of relevant internal and external regulations
- Monitoring of trading activities, ensuring an effective compliance framework is maintained and any conflicts of interest are avoided.
- Ensure current knowledge of changes to the Corporations Law and industry trends are maintained
- Recommend solutions to complex problems which may not have any precedents and guidelines to follow and develop guidelines to promote standards
- Review marketing material to ensure compliance with regulatory requirements
- Provide compliance training
- Assisting with the design, maintenance and implementation of Compliance plans/policies
Suitable Candidate will possess:
- 5 years + experience in Compliance in financial services
- Extensive knowledge of financial markets and institutional banking, including FICC, futures, equities and securities
- Strong experience with regulators and industry bodies such as ASIC, ASX and AFMA
- Excellent communication skills
- Ability to work under pressure with short deadlines
To apply please click apply or call Jonathan Berry on +61 2 8289 3210 for a confidential discussion.