Compliance Manager Compliance Manager …

Hays Banking
in Sydney, New South Wales, Australia
Permanent, Full time
Last application, 05 Aug 21
Hays Banking
in Sydney, New South Wales, Australia
Permanent, Full time
Last application, 05 Aug 21
Hays Banking
See job description for details
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:
  • 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;
What you'll need to succeed
  • 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
What you'll get in return
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 or call on 02 8226 9752

LHS 297508 #2511828
Company Overview

About Hays
Hays is the leading global specialist recruiting group. We are the experts at recruiting qualified, professional and skilled people worldwide, being the market leader in Asia Pacific and the UK and one of the market leaders in Continental Europe and Latin America. We operate across the private and public sectors, dealing in permanent positions, contract roles and temporary assignments.

Hays believes the right job can transform a person's life and the right person can transform a business. They are passionate about connecting candidates with the right job for them.

Hays operates in over 40 locations throughout Australia and New Zealand. They find permanent jobs for over 15,000 people a year and temporary and contract assignments for over 25,000 people a year and at any one time employ over 20,000 temporaries and contractors.

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