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.