Senior Compliance Manager - Broking Senior Compliance Manager - Broking …

Hays Banking
in Sydney, New South Wales, Australia
Permanent, Full time
Be the first to apply
Hays Banking
in Sydney, New South Wales, Australia
Permanent, Full time
Be the first to apply
Hays Banking
See job description for details
Senior Compliance Manager Broking
Your new company
As a well-respected broker in Sydney who offer exceptional employee benefits and a high performing, dynamic workplace with an innovative and client focussed culture.

Your new role
A line 2 compliance SME role as Senior Manager, some of your responsibilities will include:
  • Evaluate and provide advice to the business on compliance issues and incidents, including managing any escalation to senior stakeholders and reporting of incidents to regulators.
  • Advise on compliance with new and existing regulatory obligations including Corporations Act, ASIC Act, privacy laws, ASIC Market Integrity Rules, ASX and Chi-X rules and other legislative obligations.
  • Identify and analyse the impact of new or proposed changes to the regulatory framework.
  • Work with the product team, marketing and ECM on new services and regulatory compliance
  • Develop and implement assurance plans to assess the level of adherence to key regulatory obligations.
  • Perform detailed risk reviews on business strategy, processes and projects, including rectification and remediation programs, and support the design and implementation of controls from a Line 2 compliance perspective.
  • Develop and maintain cooperative and effective working relationships with stakeholders, including conducting compliance obligations and emerging issues training.
  • Proactively seek opportunities to simplify risk frameworks, policies and processes
What you'll need to succeed
  • Tertiary qualification in finance, business, law or a relevant discipline is desirable
  • Understanding of compliance frameworks, financial services law, obligations in a broking environment
  • Compliance in financial markets or broking background and familiar with ASIC and ASX rules
  • Experience of compliance incident investigations and analysis, including reporting to regulators and managing complex regulatory enquiries and notices.
  • Knowledge of stockbroking, capital markets and project management will be highly regarded.
  • Excellent written and verbal communication skills, in providing concise and clear advice
What you'll get in return
A permanent role at a large broker that offers hybrid office/WFH on offer and an excellent salary and bonus package.

What you need to do now
Please apply now or email your CV to to be shortlisted

LHS 297508 #2566378
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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