IB Compliance – Chief Operating Officer – $180-200k + bonus recruitment
This market leading global investment bank requires a senior compliance professional to manage all aspects of the internal compliance framework. The individual will act in the capacity of chief operating officer for the compliance department. The role will involve providing advice and guideance to the business in order to satisfy all internal requirements, training for new and existing employees, monitoring of staff dealing accounts and personal trading activities, and involvement in ad-hoc compliance projects.
Duties will entail -
- Setting and implementation of the compliance framework
- Maintaining an effective training programme for new and existing employees
- Documentation and dissemination of relevant policy and, where necessary, procedures to promote internal compliance - i.e. awareness of personal trading regulations.
- Ensure current knowledge of changes to the Corporations Law is maintained troughout the business
- Assess the impact of legislative changes to the bank and ensure the business units are fully informed
- Recommend solutions to complex problems which may not have any precedents and guidelines to follow and develop guidelines to promote standards
- Assisting the Compliance department 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 -
- 5-10 years relevant experience in financial services firm or advisory business
- Experience managing and implementing a compliance framework within a global business
- Knowledge of laws and regulations relevant to the banking industry, including recent regulatory issues such as Dodd-Frank, FATCA, etc
- An appreciation of training requirements necessary to satisfy internal and external benchmarks
- 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
June 7, 2012
• Tags: $180-200k + bonus recruitment, Accounting & Finance careers in the Australia, Chief Operating Officer, IB Compliance • Posted in: Financial