Compliance and Legal Analyst Compliance and Legal Analyst …

Hays Banking
in Sydney, New South Wales, Australia
Permanent, Full time
Last application, 11 Oct 21
Hays Banking
in Sydney, New South Wales, Australia
Permanent, Full time
Last application, 11 Oct 21
Hays Banking
See job description for details
Compliance and Legal Analyst in a leading broker in Financial Services
Your new company
A market leading broking financial services markets company in Sydney that have a global presence.

Your new role
Working in a small department reporting to the Head of Legal and Compliance:

- Periodic review and update of Policies and Procedures
- Responding to compliance queries from internal business units (i.e. Sales, onboarding and Institutional teams) - Assisting in administrative tasks, including filing and compiling compliance materials
- Assist in maintaining compliance controls and monitoring tasks
- Assist in reviewing promotional, marketing and advertising materials, including website
- Maintain compliance registers, including Breaches and incidents, Complaints, Conflicts of Interests and Training
- Keep up to date with legislative and regulatory changes in the broking industry
- Looking at contracts and updating legal agreements
- Compliance advice to the business
- 2 nd level AML/CTF alerts investigation and analysis

What you'll need to succeed
  • A tertiary qualification in Law (Legally qualified preferred)
  • 2 + years' experience in Legal and/or Compliance
  • Knowledge and understanding of the Australian equity and derivatives market (would be highly desirable but not required)
What you'll get in return
A rare permanent opportunity in a small legal and compliance department at a leading global Financial Services company in Sydney. Ensure the business operates to a high standard of legal and regulatory compliance, as well as in accordance with its policies and procedures. The role will be Compliance focussed with some legal and AML/CTF tasks and prefer a legal background and is an excellent opportunity for someone to learn and get a large amount of exposure.

What you need to do now
If you feel you fit the criteria and are interested in the role, please click 'apply now' or contact Philip Lewis on 02 8226 9752 or email your CV to

LHS 297508 #2557088
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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