Senior Equities Compliance Officer
This market leading global investment bank requires a senior equities compliance officer to lead compliance advisory across the Equities Division. The role will be responsible for guidance and training to the business in order to satisfy all internal and external regulatory requirements.
The role will have interaction with the broader markets and investment banking compliance teams, so a broad skillset and IB background is welcomed.
Duties will entail -
- Compliance advisory to the Equities business to avoid breaches of relevant internal and external regulations
- Monitoring of Equities trading activities, ensuring an effective compliance framework is maintained and any conflicts of interest are avoided
- Exposure to regulatory projects including 'dark pools' workstreams
- Ensure current knowledge of changes to the Corporations Law and industry trends are maintained
- Recommend solutions to complex problems which may not have any precedents and guidelines to follow and develop guidelines to promote standards
- Assisting the Head-of 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 5 years relevant experience in Equities Compliance or from an advisory business
- Knowledge of laws and regulations relevant to Equities compliance, as well as in depth product knowledge
- 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
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