Salary AUD70,000 - AUD80,000 per annum + Super + bonus
Location Bondi JunctionFULL_TIME
Consultant Dylan Mountford
Date posted 2 July 20192019-07-02 2019-08-01 banking Sydney CBD New South Wales AU AUD 70000 80000 80000 YEAR Robert Walters https://www.robertwalters.com.au https://www.robertwalters.com.au/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
The Compliance Officer sits within our client’s group’s corporate division and is responsible for monitoring and advising on the group’s compliance with applicable regulatory and counterparty rules.
The Compliance Officer role primarily focuses on regulatory compliance in Asia, but may also involve assisting our client’s international offices with other global compliance matters.
- Assume day-to-day responsibility for our client’s ongoing trading compliance risk assessment programme, including:
- a. Monitoring and reporting on developments in regulations and practices in Asian jurisdictions relevant to our client’s business activities;
- b. Periodic monitoring of trading and reporting activity to ensure compliance with relevant laws and regulations.
- This includes working with the Head of Legal & Compliance (Asia) to implement necessary changes applicable to our client, communicating these to various parts of the business, and/or reporting to management and the group board;
- Timely monitoring, maintaining and responding to exchange and regulatory filing and notification obligations, information, and ad-hoc requests. This may include filing changes to details of key representatives, company details, financial circumstances, trading system reviews, incident reporting and/or annual returns and maintaining this information in our client’s databases;
- Respond to requests for information and documentation from our client’s external stakeholders. This may include KYC requests, completion of forms, collection of signatures and supporting documents, meeting jurisdiction-specific requirements and recording these in our clients databases;
- Research and provide non-complex compliance or regulatory advice to all levels of the company where required;
- Assume day-to-day responsibility for our client’s internal compliance processes under the group’s policies and procedures, including monitoring internal incident logging and reporting, maintaining broker and clearer databases, registering hospitality and gifts and entertainment registers, maintaining approvals of personal account trading, and reviewing compliance policies and procedures etc.
- 3 years’ relevant experience working in the regulated financial services sector;
- Technology and development skills, including basic programming and fluency in major productivity and database software is desirable;
- Familiarity with external regulatory databases / systems desirable, including ASIC and ASX portals, and similar systems for foreign venues;
- Conversant with regulatory rules and requirements for AFS licensees and trading firms, exchange rules, corporate filings, data protection and privacy, AML/CTF highly desirable;
- Knowledgeable of the activities undertaken in a proprietary trading environment, ideally in a trading floor environment, and an understanding of financial markets and products;
- Able to keep abreast of current regulatory developments, requirements and expectations;
To apply please click apply or call Dylan Mountford on 02 8289 3171 for a confidential discussion.