Senior Advisor - Fixed Income & Equities Compliance
Salary Super + Bonus
Location Sydney CBDFULL_TIME
Consultant Jordan Jessup
Job Ref 810842/001
Date posted 21 July 2022sydney banking-financial-services/compliance 2022-07-27 2022-08-20 banking Sydney CBD New South Wales AU Robert Walters https://www.robertwalters.com.au https://www.robertwalters.com.au/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
To be suitable for this role you must have 5 - 10 years of experience in a compliance position, with exposure to traded financial markets (listed equities and derivatives). Candidates will be considered from regulatory backgrounds, financial services firms, legal/accounting practices or trading background. Position based in client’s Sydney office.
The Fixed Income and Equities Compliance Senior Advisor will:
- Provide guidance on Corporations Act requirements, ASIC Market Integrity Rules and the rules and regulations of market operators including clearing and settlement obligations (ASX Group, Chi-X and Yieldbroker) relating to the sales and trading business and related operational issues. Additionally, provide interpretation of internal compliance policies.
- Collaborate with other internal areas including Legal, Risk, Business Management, Operations, Technology and Finance to address compliance issues which may impact the Fixed Income and Equities business.
- Support business management in performing timely compliance reviews of new products and processes.
- Contribute to the development and delivery of Compliance training for the Fixed Income and Equities business.
- Monitor for and review any new regulatory reform, including rule changes and implementing policies, procedures, or other controls necessary to comply with relevant obligations.
- Provide global sales and trading subject matter expertise insofar as activity across foreign borders is concerned to support of the Fixed Income and Equities business.
- Provide ongoing advice and guidance on Corporations Act, ASIC Market Integrity Rules, rules, and regulations of market operators, and clearing and settlement facility operators, as well as interpretation of internal compliance requirements.
- Formulate responses to Fixed Income and Equities’ regulatory inquiries and/or examinations - this may include coordination with regulators and other parties.
- Assist in the management of regulatory inspections.
- Support and interact with the following: Anti-Financial Crime (AFC); Conflicts, Corporate Finance & Research Compliance; Monitoring, Testing and Surveillance; senior management, supervisors, and employees in relation to: responses to regulatory notices and other matters; the implementation and ongoing delivery of processes and procedures designed to mitigate risk; monitor industry and business developments to ensure compliance management arrangements remain efficient and effective
Experience and Qualifications:
- 5 - 10 years compliance, audit, regulatory or trading experience in the financial services sector (brokerage, bank or securities industry);
- Relevant Tertiary Degree (Degree in business, finance, accounting or technology preferred);
- Deep understanding of exchange traded products (equities and derivatives) along with trading strategies and systems;
- Excellent communication and leadership skills.
Aboriginal and Torres Strait Islander Peoples are encouraged to apply. To apply please click apply or call Jordan Jessup on +61 2 82893107 for a confidential discussion.
Salary: AUD130,000 - AUD170,000 per annum + + Super + BonusLocation: Sydney CBDDate posted: 12 August 2022
The Senior Treasury Manager is responsible for developing the strategy and managing the implementation of market risk policy, including:
- Minimising the vulnerability of net interest income to changes in interest rates
- Ensuring that the market risks associated with losses/gains in values of assets, liabilities, or derivative contracts due to changes in market price are being managed in accordance with the Board approved Strategy Risk Appetite
- Ensuring that the Bank’s liability structure can meet all obligations as they fall due
Salary: AUD150,000 - AUD180,000 per annum + SuperLocation: SydneyDate posted: 15 August 2022
- Leading Domestic Bank
- Commercial Banking relationship management
- Diverse portfolio
Salary: AUD100,000 - AUD170,000 per annum + + Super + BonusLocation: SydneyDate posted: 22 July 2022
- International bank
- Global Exposure
- Flexible Salary and level role
Salary: AUD120,000 - AUD185,000 per annum + + BonusLocation: SydneyDate posted: 22 July 2022
- CBD Based Location
- Excellent client exposure
- Global Investment Bank
Salary: AUD850 - AUD950 per day + SuperannuationLocation: Sydney CBDDate posted: 19 July 2022
A leading bank is looking for a Manager with quantitative, financial markets and model risk management experience to join their Risk team. As a result of their high performance culture, this team have been recognised by receiving numerous awards. New regulatory changes has enabled an additional hire within this team where they need support across validation activities associated with Interest Rate Risk.