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Compliance officer, 4 years experience in Financial Markets,Package of 150k - Compliance Officer - 4 Years Experience in the Finical Market
The Compliance Officer is responsible for monitoring the group's compliance with applicable regulatory and counterpart rules.
This role primarily focuses on compliance for our client in the Asian operations, but has scope for expansion into global matters.
The successful candidate will be responsible on a day-to-day basis for executing our client's regulatory compliance monitoring programs, and reporting to management on compliance issues.
The role is particularly suited to someone 'hands-on', with high aptitude and who naturally applies a logical and commercial approach to their work.
Our clients trading desks operate across a variety of international markets, asset classes, and trading styles. As such, the role is a unique opportunity to execute end-end compliance with a varied and dynamic workload.
• Day-to-day responsibility for implementing our clients trading compliance risk assessment programme
• Reporting on developments in trading and exchange regulation and practice in jurisdictions relevant to our client and market
• Periodic monitoring of trading and reporting activity to ensure compliance with relevant laws and regulations
• Timely maintenance and response to exchange and regulatory filing and notification obligations
• Assume day-to-day responsibility for our client's internal compliance processes under the group's policies and procedures, including monitoring internal incident logging and reporting and maintaining broker and clearer databases
• Managing the regulatory interface with counter-parties, including regulators, exchanges, brokers and other stakeholders. This includes responding to requests for information from the clients external stakeholders, such as KYC requests, meeting jurisdiction-specific requirements and recording these in their databases
Skills, Experience & Qualifications Required
• At least 4 years' compliance experience in Financial Markets. An understanding of market structure is highly desirable
• Exposure or experience in a trading, regulatory or exchange firm would also be highly beneficial
• Knowledge of the regulatory regime in Australia
• High aptitude and commercial acumen
• Can research and apply a data-driven approach
• Be able to work in a time-pressured and dynamic environment
• Demonstrate strong written and verbal communication skills, confident interpersonal skills, integrity, diligence and excellent administrative skills
• The ability to contribute to the automation and systematisation of routine L&C matters is desirable
• Degree from a recognised university
• Eligible to hold any relevant responsible officer and/or controlled function positi What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career. LHS 297508