Senior Compliance Adviser recruitment
Senior Compliance Adviser
$100k - $120k base salary
Company Profile:
Our client is a globally respected investment manager with a new requirement for a Compliance Adviser. Supporting the global markets business you will report to a senior member of the Compliance department. The successful candidate will possess strong experience of regulatory/compliance backed up with extensive financial services product knowledge.
Role and Responsibilities:
* Oversee daily activities ensuring regulatory directives are adhered to
* Conduct periodic reviews and audits to ensure compliance with regulatory requirements and internal controls
* Regular provision of advice to management and internal stakeholders
* Dealing with any compliance breaches
* Conduct ad-hoc investigations
* Act as liaison and point of contact with the regulators and auditors
* Handle licensing registrations
Requirements
* Proven experience in a compliance role within financial services (3-5years)
* Experience of of a range of investment products including equities, funds and derivatives
* The ability to work as part of a team as well as autonomously
* Proven stakeholder management skills and the ability to present to senior management level
* The ability to problem solve
For a confidential discussion please contact Leigh Smith on 02 8986 3108, alternatively, please apply online via the below link.
