Salary AUD110,000 - AUD125,000 per annum + discretionary bonus
Location Brisbane CBD
Consultant Anna Madill
Date posted 5 March 20181 Farrer place Sydney 2000 Robert Walters Australia
This esteemed stockbroking and wealth management specialist has a national branch and advisor network with direct access to ASX and NSX listed securities. As State Compliance Officer within the Legal and Compliance Department, you will ensure that the branch and adviser network in your area complies with the firm's AFSL, ACL and internal policies, procedures and guidelines.
- Knowledge of the workings of Australian equity, derivatives, and other financial markets
- Working knowledge of drivers for commercial, legal, and regulatory environments - in particular, ASIC, ASX, and AUSTRAC
- Ability to understand data and understand trading and settlements practices and trends in trading and clearing infrastructure
- Ability to understand auditing and investigative practice and process to monitor activities in relation to the firm's AFS licensing conditions
- Flexibility to travel to branch and adviser locations nationally
Strong interpersonal skills and the ability to interact with people across a variety of demographics is essential in this role. Additionally, you should be confident in your ability to develop and nuture professional relationships, negotiate and persuade, problem solve, and manage priorities in a fast paced environment to meet deadlines.
To apply please click apply or call Anna Madill on +61 7 30322229 for a confidential discussion.