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Junior Compliance Officer

Newly created Junior Compliance Officer role at a global broker in growth mode

Your new company

Global Financial services market participant who are in strong growth mode and expanding in Australia and globally. They cover products such as Equities, Options, ETFS, Margin Lending for leading markets.

Your new role

As Junior Compliance Officer, you will work in a small, close-knit team and assist the Chief Compliance Officer, Australia to provide advice and support to the business on all compliance matters.

Key responsibilities include:

• Undertaking monitoring and surveillance activities across the markets of Australia, US, Hong Kong and China.
• AML/CTF Transaction monitoring.
• Working closely with the Trading Desk in relation to trade surveillance matters.
• Assisting the current Compliance team with the management and reporting of Compliance incidents and breaches.
• Maintenance of key Compliance Registers (e.g. Complaints, Incidents, Training, Gifts and Entertainment and Conflicts).
• Assisting with Complaints management (working with AFCA where applicable).
• Working with Compliance teams globally.
• Compliance testing, gap analysis, and controls work.
• Working with the current Compliance team on any ad hoc matters, regulatory queries, upcoming projects etc.

What you'll need to succeed

• Has had some exposure working in financial markets or at a broker along with a keen interest in this sector.
• Passion to move into a Compliance role.
• Excellent and effective interpersonal, written and communications skills.
• Has an ‘enquiring mind’ in order to undertake surveillance and manual testing.



What you'll get in return

A growing market participant in Australia, with a unique opportunity to work with a Senior Leader in a broad remit newly created junior compliance role, at an exciting time to join the company which has offices in global locations. You will be exposed to their Senior Management, Regulators, and industry Professional Bodies and get excellent mentoring and guidance. The role offers lots of breadth, meaning you get to see the whole picture of compliance in the firm and work in a small, engaging team.

What you need to do now

Please apply now, or email your CV to philip.lewis@hays.com.au. Please ensure you have full work rights to work in Australia.




LHS 297508

Summary

Job Type
Permanent
Industry
Banking & Financial Services
Location
NSW - Sydney CBD
Specialism
Banking
Ref:
2940860

Talk to a consultant

Talk to Philip Lewis, the specialist consultant managing this position, located in Sydney
Level 13, Chifley Tower, 2 Chifley Square

Telephone: 0282269752

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