• Competitive
  • Sydney, New South Wales, Australia
  • Permanent, Full time
  • Citi Australia
  • 23 Jan 18

Equities Compliance Officer, VP

Equities Compliance Officer, VP

  • Primary Location: Australia,New South Wales,Sydney
  • Education: Bachelor's Degree
  • Job Function: Compliance and Control
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: No
  • Job ID: 17079143


  • Citi's Institutional Clients Group provides a comprehensive range of investment and banking services to corporates, governments and institutional investors in more than 100 countries around the world. We are a leading underwriter of equity and debt. We rank in the top tier of providers of mergers and acquisitions advice and securities trading services. Our extensive commercial banking operations include cash management, custodial, foreign exchange, trade and treasury services
  • Our geographic reach and financial expertise makes us one of the most sought after sources for analysis of local and international economies and financial markets. A broad range of financial products and services, combined with our geographic reach and one of the world's largest bank balance sheets, makes us the financial organization of choice for corporations, institutions and governments
  • An opportunity has arisen for a Markets Compliance Officer - Equities  in our Institutional Clients Group (ICG) Market  Compliance team.  The purpose of the role is to assist managing the Compliance Risks primarily associated with Equities business by:
    • Providing compliance and regulatory advice and services primarily to the ICG Markets business, primarily to the Institutional Equities business
    • Liaising closely with Equities Desk Heads and Business Unit Management in those departments in establishing priorities and carrying out tasks
    • Maintaining strong relationships with key business stakeholders and regulators (ASIC, ASX and Chi-X) and internal Legal, Control and Support functions


To be successful in this position you must have the following skills and experience:
  • Bachelor of Economics, Finance or Laws 
  • At least 5 years' experience in a compliance/regulatory role. Experience in an Equities compliance role is essential
  • In depth knowledge of Corporations Act, ASIC Market Integrity Rules, ASX and ASX 24 Operating Rules, Chi-X Operating rules and other financial markets legislation
  • Knowledge of financial markets transactions (primarily Equities)
  • Knowledge of financial services regulatory environment
  • Knowledge of Institutional Equity Markets and Fixed Income Markets
  • Compliance issues surrounding Equity Research
  • Ability to work independently, initiate actions and complete tasks with limited direction
  • Ability to work effectively as a team member managing projects
  • Ability to assist junior members of the compliance team
  • Demonstrated analytical and issues management skills
  • Ability to execute multiple project and tasks at the same time
  • Demonstrated negotiating and persuasive abilities
  • Strong planning and organization skills
  • Stakeholder management skills including demonstrated ability to deal with senior management
When you work at Citi, you'll be working for an organization that truly has a global footprint and a powerful network that spans the globe. We celebrate individual ingenuity and leverage the diversity of our people in order to drive high performance. Through dedicated support, training and resources, we promote our talent and future leaders to bring about lasting and positive impact. Citi continues to be an Employer of Choice for Women and supports a flexible
work environment. 

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