Salary AUD120,000 - AUD140,000 per annum + Super + bonus
Location Sydney CBDFULL_TIME
Consultant Dylan Mountford
Date posted 12 November 2018 2018-11-122018-12-12 banking 1 Farrer place Sydney 2000 Robert Walters https://www.robertwalters.com.au https://www.robertwalters.com.au/content/dam/robert-walters/global/images/logos/web-logos/logo.gif
This is an exciting opportunity for an experienced Compliance professional to contribute to the management of our compliance obligations relating to statutory, market-based laws and applicable rules and regulations for the business.
Reporting to the Chief Compliance Officer, you will also be involved in managing the regulatory reporting processes to exchanges and regulators in Asia-Pacific, coupled with the application of internal policies and procedures designed to ensure compliance.
- Development of policies and procedures, compliance frameworks and training programs
- IT/Trading Liaison for management of trading system rules and market and quant risk liaison for market developments, incidents and rule applications
- Conducting trader training on individual markets including cross training in Multiple Asia-Pacific Jurisdictions
- Developing, refining and implementing surveillance exception reports
- Monitoring order behaviour; assisting in the development of internally based monitoring solutions
- Undertaking topical compliance reviews
- Providing compliance input into key business projects
- Incident and Breach Management
- Identifying potential areas of compliance concern and implementing solutions
- A solid understanding and demonstrated knowledge of the workings of equity, derivatives and other financial markets
- Understanding and hands on experience with electronic trading
- Excellent attention to detail
- A strong communicator with outstanding verbal , written and interpersonal skills
To apply please click apply or call Dylan Mountford on 02 8289 3171 for a confidential discussion.