Capital Markets Compliance – Investment Banking – $150k recruitment
This market leading global Investment Bank requires a compliance manager, to cover Capital Markets compliance advisory, including equity derivatives, futures, structured products, and FICC products. An appreciation of AML frameworks would also be viewed favourably.
This broad role will give the candidate exposure to senior stakeholders in different areas of the bank as well as external liaison with relevant regulatory bodies. Under the guidance of the head of compliance, they will be responsible for maintaining an effective internal compliance framework by interpreting industry regulations and assessing the impact to the business.
Duties will entail -
- Provide advisory to the capital markets division, with a focus on equity derivatives, futures, structured products, and FICC products.
- To consider the implications of client contractual, legislative and regulatory requirements on the operation of the capital markets and funds management business and undertake compliance monitoring procedures as necessary in the fulfilment of these compliance requirements
- Documentation and dissemination of relevant policy and, where necessary, procedures to promote client contractual, legislative and regulatory compliance
- Ensure current knowledge of changes to the Corporations Law and industry trends is maintained
- Assess the impact of legislative changes to the business, and ensure the business units are fully informed
- Assist with build and maintenance of an effective AML and KYC framework
- Assisting the Head of Compliance on all aspects of the Internal and External Audits, full business reviews, identifying control weaknesses, and implementing measures to address any weaknesses
Suitable candidates will possess -
- At least 3 years relevant experience in financial services firm or advisory business
- Knowledge of laws and regulations relevant to the Investment Banking and Asset Management industries, such as Corporations Act Chapter 5C, SIS prudential regulations and Chapter 7
- An appreciation of regulatory requirements for compliance within an Investment Bank, as well as AML legislation
- Proven track record of working in a team environment
- Degree qualification in business, law or finance related discipline
- Excellent written and verbal communication skills
For further information or a confidential career discussion, please contact Henry Smith on 0282893131, alternatively email an updated CV to henry.smith@robertwalters.com.au
