Senior Compliance Manager
Opportunity for a compliance expert with experience in adhereing to market participant obligations to join a high calibre team
Summary about this job
Compliance & Risk
Company: T+O+M Executive
Location: Sydney
Work type: Full Time
Salary: n\a
Phone: +61-3-9805-9742
Fax: +61-3-1422-9432
E-mail: n\a
Site: n\a
Detail information about job Senior Compliance Manager . Terms and conditions vacancy
Australia’s leading domestic bank is seeking a driven Senior Manager to provide support to the Equities team in relation specifically to Market Participation. This really is a market specialist position, with full autonomy over relationship management and the opportunity to really engage with the business and strategy.
Key responsibilities will be to:
- Provide day-to day support to the business with regards to licensing, and internal policy obligations.
- Work to continuously enhance compliance within the wealth management business, participating in projects both within the team and the wider business.
- Manage the relationship with the regulators predominately ASIC and ASX, organising external meetings, onsite visits and surveillance.
- Ensure the business is keeping up to date with all regulatory changes about capital markets transactions, market participant obligations and market integrity / settlement & clearing rules.
- Take a lead of drafting regulatory responses to both ASIC and ASX in all relevant issues such as reportable breaches.
- Assist to develop testing for all relevant compliance obligations, monitoring and proactively improving processes.
- Manage actual, potential or perceived conflicts of interest within the team in regard to assessing capital raisings.
- Attending business team meetings, providing risk and compliance updates and support.
Required experience:
- Relevant experience in Compliance roles within the Financial Services
- An understanding of capital markets transactions, and market integrity
- Ability to constructively challenge, consult and advise, whilst maintaining excellent relationships
- Effectively negotiate, influence and engage a broad range of senior internal and external
stakeholders - Prior experience with regulators would be advantageous
- Relevant qualifications are desirable
For a confidential discussion regarding this or any other job opportunities across Risk, Audit & Compliance please send a CV to [email protected] .
Please note that due to call volumes, unscheduled calls may not be accepted; please email in the first instance and we will endeavour to get back to you promptly.