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Senior Associate, Fixed Income & Equities Compliance

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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. This is a full time, permanent role.

About The Client:

Australian financial services firm supporting a broad range of corporates, financial institutions, private equity firms, governments, investment managers and asset managers.

Key Responsibilities:

  • Provide guidance on the Corporations Act, ASIC Market Integrity Rules, and rules/regulations of market operators (ASX Group, Chi-X, Yieldbroker). This includes clearing and settlement obligations and interpretation of internal compliance policies.
  • Work with internal departments such as Legal, Risk, Business Management, Operations, Technology, and Finance to address compliance issues impacting the Fixed Income and Equities business.
  • Support business management in conducting timely compliance reviews of new products and processes.
  • Contribute to the creation and delivery of Compliance training programs for the Fixed Income and Equities business.
  • Monitor and review new regulatory reforms, rule changes, and implement necessary policies, procedures, or controls to ensure compliance.
  • Offer global sales and trading expertise, particularly regarding activities across foreign borders, to support the Fixed Income and Equities business.
  • Provide continuous advice and guidance on the Corporations Act, ASIC Market Integrity Rules, and rules/regulations of market operators, as well as internal compliance requirements.
  • Formulate responses to regulatory inquiries and examinations, coordinating with regulators and other parties as needed.
  • Assist in managing regulatory inspections.
  • Interact with Anti-Financial Crime (AFC), Conflicts, Corporate Finance & Research Compliance, Monitoring, Testing and Surveillance, senior management, supervisors, and employees. Handle regulatory notices and other matters, implement risk mitigation processes and procedures, and monitor industry developments to ensure effective compliance management.

Key Requirements:

  • 5-10 years in compliance, audit, regulatory, or trading roles within the financial services sector (brokerage, bank, or securities industry).
  • Relevant tertiary degree (preferably in business, finance, accounting, or technology).
  • Deep understanding of exchange-traded products (equities and derivatives), along with trading strategies and systems.
  • Excellent communication and leadership abilities.

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: Negotiable

Workplace Type: On-site

Experience Level: Mid Management

Location: Sydney CBD

Job Reference: 1982690/001

Date posted: 21 June 2024

Consultant: Ali Heffernan

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