Securities and OTC Products knowledge preferred. This is an autonomous and dynamic role requiring a person able to operate as Compliance Officer (Part of a small compliance and legal team) and be experienced and confident to deal with all stakeholders of the business and all areas of compliance and AML, including regulatory policy and liaison with relevant local regulators. Immediate availability is a plus! Confidence to deal with ASIC is a plus!
Australia Country Compliance Manager (Sydney Based)
- Role to be permanently based in Sydney
- Firm is open to relocating an experienced professional back to Sydney
- Global Financial Institution
- Great Working Culture
- Securities or OTC Products
This is an autonomous and dynamic role requiring a person able to operate as Compliance Officer reproting to the Head of Compliance and be experienced and confident to deal with all stakeholders of the business and all areas of compliance and AML, including regulatory policy and liaison with relevant local regulators.
- Manage & maintain organisations Compliance framework and management procedure, instilling a culture of continuous improvement.
- Accountability for regulatory compliance matters including measurements, monitoring, assessments and control.
- Coordinating with regulatory organisations (APRA, ASIC, AUSTRAC).
- Assist in the Implementation of the AML compliance framework.
- Continuous Review Compliance frameworks, policies and procedures.
- Continuous improvement and further development of a strong compliance culture.
- Reporting into the Head of Compliance
- Deep experience within Compliance gained either or partially or wholly within financial services.
- Part of this role is AML Compliance so someone with experience across AML Compliance is needed.
- Strong communication skills, able to work with the business and whilst maintaining essential independence.
- Business partnering skills with the ability to work closely with the Regulators whilst managing the company’s interests and agenda.
- Analytical mind and excellent problem-solving skills, able to interpret complex regulatory policy and establish solutions for its implementation and fast adoption.
- Strong understanding of securities products or brokerage environment
- Excellent academic background
****Immediate availability would be a plus****
***Open to Compliance Professionals that are currently based in other financial markets/ jurisdictions****
Please send an updated resume to Edward Chen at email@example.com
All relevantly, experienced applicants will be responded to within 6 hours.