Senior Compliance Manager
Consultant Jonathan Berry
Date posted 8 November 2016
Global Investment Bank is looking for a Senior Compliance Manager to provide compliance support to the FICC and financial markets division.
Senior Compliance Manager - FICC – Investment Bank - Sydney
This market leading global investment bank requires a Senior Compliance Manager to provide compliance support to the FICC and financial markets division.
- Compliance advisory to the FICC business to avoid breaches of relevant internal and external regulations
- Coverage across all FICC products, derivatives and retail structured products, as well as project work on the Dodd-Frank reform
- Monitoring of Fixed Income trading activities, ensuring an effective compliance framework is maintained and any conflicts of interest are avoided. Coverage will also include broader equities compliance
- 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
- Assisting the Head-of on all aspects of the Internal and External Audits, full business reviews, identifying control weaknesses, and implementing measures to address any weaknesses
Suitable candidates will possess:
- 5 years + relevant experience in FICC Compliance at an institutional bank or from an advisory business within financial services
- Knowledge of laws and regulations relevant to FICC compliance and deep product knowledge
- Proven track record of working in a team environment
- Degree qualification in business, law or finance related discipline
- Excellent written and verbal communication skills
To apply please click apply or call Jonathan Berry on +61 2 8289 3210 for a confidential discussion.