Compliance Manager
- Recruiter
- Hays Banking
- Location
- Sydney, New South Wales, Australia
- Salary
- Competitive salary
- Posted
- 03 Jun 2021
- Closes
- 18 Jun 2021
- Ref
- 11154719
- Job role
- Compliance/risk
- Sector
- Accounting - Public practice
- Experience level
- Manager
New broker in Australia providing exchange traded equities to global markets. Compliance Manager role.
Your new company
A new equities broker based in Sydney CBD, the company are looking to grow their footprint in Australia and have an overseas presence.
Your new role
As Compliance Manager you will implement and maintain all necessary procedures and controls to ensure an effective compliance and risk framework that meets regulatory requirements in Australia.
Responsibilities will include:
An exciting opportunity at a new equities broker in Australia. The role is based in Sydney CBD and may offer flexible working conditions if required. The company is in growth phase and looking to help build out the Compliance function and implementing it within the business. A sign on bonus can potentially be offered depending upon the skillset.
What you need to do now
Please apply now, or email your CV to philip.lewis@hays.com.au or call on 02 8226 9752
LHS 297508 #2511828
Your new company
A new equities broker based in Sydney CBD, the company are looking to grow their footprint in Australia and have an overseas presence.
Your new role
As Compliance Manager you will implement and maintain all necessary procedures and controls to ensure an effective compliance and risk framework that meets regulatory requirements in Australia.
Responsibilities will include:
- Enhance existing compliance framework encompassing external regulatory compliance, specific advice legislation and an understanding of the products and services;
- Assess the impact of legislative changes both past and present to ensure that the business units are fully informed and compliant;
- Incidents, Errors and Breach management
- AFSL variation
- Applying the ASIC Market Integrity rules and ASX working rules
- Support the business with policy development and operating procedures;
- Produce regular updates and report on regulatory concerns to ASIC; Act as the contact point with ASIC;
- Develop and drive the compliance strategy across the business in a consistent manner and to manage any synergies and gaps;
- Execution and monitoring of risk management practices, operational issues and control breakdowns;
- Experience in risk and compliance ideally gained within the capital markets/brokerage sector in Australia for exchange traded products
- Tertiary qualifications in Law, Business, Audit, Finance, Commerce or a similar discipline are a plus or any further qualifications
- Understanding of compliance frameworks, financial services law, obligations and familiarity with policy requirements from ASIC, ASX etc
- Ability to work for a small company and assist in its growth in Australia and able to collaborate well with overseas branches
- Broking/Securities experience required
- Must hold Australian Citizenship or Permanent Residency
An exciting opportunity at a new equities broker in Australia. The role is based in Sydney CBD and may offer flexible working conditions if required. The company is in growth phase and looking to help build out the Compliance function and implementing it within the business. A sign on bonus can potentially be offered depending upon the skillset.
What you need to do now
Please apply now, or email your CV to philip.lewis@hays.com.au or call on 02 8226 9752
LHS 297508 #2511828
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