Compliance Manager – Dealing Room – $110k++ recruitment
This is your chance to work with this global provider of banking, financial, advisory, investment and funds management services.
Several opportunities are currently available within different teams across the group. In this role you will be performing a variety of risk compliance responsibilities including though not limited to:
- Providing advice in compliance and regulatory matters to the business
- The analysis and reporting of compliance data
- Responding to enquiries from regulators
- The administration of compliance systems
- To review and provide advice on new product development
- To review and provide sign-off for marketing material
- To assist in the implementation and maintenance of the compliance monitoring and reporting programs
- Contribute to the development of compliance management, learning and development across the Group
- Provide input into group policies
To be considered for this position it is essential that you have:
- Financial Services industry qualification
- At least 3 years experience in Equity capital markets
- Knowledge of the legal regulatory environment relating to financial services
- Knowledge of relevant sections of the Corporations Act and other applicable legislation
- Experience in Microsoft applications (particularly Access and Excel).
- Compliance experience gained from an investment bank.
- Extensive understanding of the local regulatory environment.
- Evidence of facilitating Chinese Walls and Conflict Credit Vetting and Management
This role has scope to further enhance the expertise of compliance professional or someone seeking an opportunity in this discipline. In order to succeed in this role, you will be able to demonstrate your ability to work well within a team environment, and have time management skills with the ability to meet tight deadlines.
For more information please contact Karen Thorne on 02 92702605 quoting job ref 14853.
