Head of Compliance

Summary about this job

Detail information about job Head of Compliance. Terms and conditions vacancy

An outstanding opportunity has arisen for a Head of compliance to join in international bank. Opportunities like this do not come up often !!

Our client, is a provider of execution, clearing and settlement services for equities and exchange-traded options to ASX Participants and other AFSL holders.  

The Key Elements to this role include:

• Provide advisory Compliance support to all teams within Australia, across all regulatory aspects – exchange and ASIC rules, AML/CTF, Corporations Act requirements
• Liaise with regulators in relation to routine and non-routine enquiries and to provide notifications, as required
• Liaise with management, both on and offshore, to provide updates both on the companies Australiaian regulatory position and on industry updates/incoming obligations
• Liaise with teams in globally to ensure that all group-wide obligations and requirements are met
• Provide training on regulatory and policy requirements, as appropriate
• Carry out monitoring and surveillance activities, both in relation to trade execution and for AML/CTF purposes
• Ensure Australia’s compliance with local licensing requirements; and
• Keep abreast of the regulatory developments, interpret and provide advice on policies, regulatory requirements and impact, and control related processes.

To be considered for the role you will:

Candidates should have a minimum of 10 years’ experience in financial markets Compliance, and experience in equities and exchange-traded options in a retail broking context is preferred.  Accredited Derivatives Adviser qualifications would be highly desirable.
  
Candidates should also have a thorough understanding of Enterprise Compliance Risk Management and best practices; excellent problem solving, analytical ability, oral and written communication skills; the ability to resolve stressful situations with internal clients and regulators in a professional manner; an ability to effectively interact with senior/executive management and regulators; and strong interpersonal and influencing skills to achieve positive outcomes with constituencies over whom the incumbent has no direct authority.

The role would suit a senior manager looking to step up into a head of position or a current head of looking for an exciting new challenge.

Interested candidates please call Scott on 9216 6704 or hit 'Apply'.