Retail Banking Compliance Manager – 120k + recruitment
This role Focuses on the compliance, strategy and frameworks, and service delivery and will provide an excellent opportunity in one of the major financial institutions in Sydney. This role will contribute to the development and maintainence of the compliance framework which includes internal communication of the compliance policies, as well as the development of compliance procedures and training, along with aiding in the management of regulatory change programs. Experience: Tertiary qualifications in a Legal, Financial, Business or related discipline A strong understanding of the financial services Read more […]
Investment Governance Specialist recruitment
Investment Governance Specialist Investment Governance Specialist 6 Month Contract $800 – $1000 per day Ethos Risk Management Compliance have been appointed to assist a leading financial institution with the appointment of an Investment Governance Specialist to join a strategic regulatory change program. This high profile appointment will see the successful candidate responsible for the provision of investment governance support to the regulatory change program and also for the establishment of an investment governance framework for a range of superannuation, life and platform investment products. Read more […]
Compliance Analyst recruitment
The Area: With 150 employees, Morningstar Australia New Zealand has been providing independent investment research in Australia and New Zealand since 1999. We offer a broad range of products and services from mutual fund and equity data and research to software solutions and consulting.The Role: Morningstar Australasia require a detail driven and passionate Compliance Analyst to ensure the businesses within the Morningstar Australasia group meet their corporate governance, regulatory, and compliance obligations. The role will be part-time and the ideal candidate will be looking for a flexible Read more […]
Risk and Compliance Manager, 130-160k plus super, Sydney CBD recruitment
Sydney CBD130-160K plus super plus bonusThis is an excellent opportunity to develop and build a risk and compliance funcThe Company Our client is a global bank, currently expanding in several locations. The Role Reporting to the Country Head, you will develop a risk and compliance framework to ensure that operations are carried out within risk parameters and that all regulatory compliance is adhered to. You will lead the development, implementation and maintenance of compliance programs as well as implementing and managing an effective risk framework. Your Profile · At least 8 years of operational Read more […]
Compliance Officer VP recruitment
BlackRock is one of the world’s preeminent asset management firms and a premier provider of global investment management, risk management and advisory services to institutional, intermediary and individual investors around the world. BlackRock offers a range of solutions — from rigorous fundamental and quantitative active management approaches aimed at maximizing outperformance to highly efficient indexing strategies designed to gain broad exposure to the world’s capital markets. Our clients can access our investment solutions through a variety of product structures, including individual and institutional Read more […]
Compliance Manager – Macquarie Capital recruitment
Macquarie Group is a global provider of banking, financial, advisory, investment and funds management services. The Risk Management Group is an independent, centralised unit responsible for assessing and monitoring risks across the Macquarie Group. The Compliance Division within Macquarie’s Risk Management Group provides compliance support and advice to Macquarie’s operating businesses. We are currently looking for a Compliance Manager to support the Macquarie Capital business. Macquarie Capital provide advisory and capital raising services to corporate and government clients involved in public Read more […]
Control Room Associate recruitment
Company Profile: A well known investment bank requires a motivated and dedicated individual to join their well respected control room team. Responsibilities: Responsible for the management, operation and compliance monitoring of the Conflicts of Interest Framework and to develop group-wide compliance policies and procedures Conduct regular compliance monitoring of control room functions including transactional conflicts, personal account dealing activity and to highlight areas for further analysis Be involved in the reviews of external documentation including market commentary and marketing Read more […]
Compliance Manager – Macquarie Funds Group recruitment
Macquarie Group is a global provider of banking, financial, advisory, investment and funds management services. Strong prudential management has been a key to Macquarie’s success over many years. The Risk Management Group is an independent, centralised unit responsible for assessing and monitoring risks across the Macquarie Group. The Compliance Division within Macquarie’s Risk Management Group provides compliance support and advice to Macquarie’s operating businesses. The Macquarie Funds Group (MFG) Compliance team has staff in the US, Australia, Europe and Asia. MFG has a number of regulated Read more […]
Director – Legal Counsel, Global Markets recruitment
Investment BankingGrowing Businessup to $250,000 package plus bonusesOur client is a leading investment banking group in the Asia Pacific region and is committed to actively growing it’s footprint in the region. This is a unique opportunity to join a growing business as the Head of Legal for Australia, reporting directly into the local board of directors. As a key member of the local leadership team you will advice the front office and senior management on a range of issues relating specifically to cash equities and investment banking. You will have a banking and financial services background Read more […]
Registrations Compliance Officer recruitment
Registrations Compliance Officer Sydney CBD $120k to $140k package – 9-12 months – Fixed Term Contract Be part of a global reaching Investment Bank Great exposure to senior management Challenging and broad ranging responsibilities This long term contract gives you the opportunity to gain experience within a large Investment Bank. Reporting to the head of Compliance and working closely with the Company Secretary to maintain the Registrations Matrix. This role also focuses on License updates and amendments for all legal entities for bothAustraliaandNew Zealand. Responsibilities Working closely Read more […]