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Senior Compliance Manager

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Opportunity to join a leading investment bank reporting directly into the Head of Compliance.

Key Responsibilities:

  • Ensure compliance with all applicable CFTC, SEC, and other regulatory requirements related to swap transactions. Monitor and interpret new and existing regulations and their impact on the organisation.
  • Develop, implement, and maintain compliance policies and procedures for swap transactions. Update internal policies to reflect regulatory changes.
  • Oversee the monitoring and surveillance of swap trading activities to identify and mitigate compliance risks. Conduct regular reviews and audits of swap transactions.
  • Provide training and support to staff on swap compliance requirements. Develop educational materials and conduct training sessions to promote compliance awareness.
  • Prepare and submit required regulatory reports. Maintain accurate records of compliance activities and ensure timely reporting to regulatory bodies.
  • Conduct risk assessments related to swap transactions and develop strategies to mitigate identified risks. Collaborate with the risk management team to ensure comprehensive risk coverage.
  • Coordinate with internal audit teams to ensure regular compliance audits are conducted and findings are addressed promptly.
  • Act as the primary liaison with regulatory bodies on swap compliance matters. Work closely with legal, trading, and other departments to ensure a cohesive approach to compliance.
  • Investigate and resolve compliance incidents related to swap transactions. Implement corrective actions and preventive measures to avoid recurrence.

Key Requirements:

  • Bachelor’s degree in Finance, Law, Business Administration, or a related field. Advanced degree or professional certification (e.g., JD, MBA, CPA, CFA) is preferred.
  • Minimum of 5-7 years of experience in a compliance role within the financial services industry, with a focus on swaps and derivatives.
  • In-depth knowledge of CFTC, SEC, and other relevant regulations governing swap transactions.
  • Detail-oriented, proactive, and able to manage multiple tasks in a fast-paced environment. High ethical standards and integrity.

Aboriginal and Torres Strait Islander Peoples are encouraged to apply.
To apply please click apply or call Ali Heffernan on 02 8289 3193 for a confidential discussion.

Contract Type: FULL_TIME

Specialism: Banking & Financial Services

Focus: Compliance

Industry: Banking

Salary: Competitive Salary

Workplace Type: Hybrid

Experience Level: Senior Management

Location: Sydney CBD

Job Reference: 1977870/001

Date posted: 7 June 2024

Consultant: Ali Heffernan

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