обновлено 1 день назад
Compliance, Global Advisory and Markets, Equities, Analyst, Sydney (Equities)
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Compliance, Global Advisory and Markets, Equities, Analyst, Sydney (Equities): Providing real-time compliance coverage for equities sales and trading, listed derivatives, and broader Global Advisory and Markets activities in Australia with an accent on regulatory monitoring, policies, training, testing, and advisory support. Focus on identifying and mitigating compliance risks, implementing strategic solutions, and supporting regulatory investigations and audits.
Location: Sydney, NSW, Australia; office-based trading floor compliance function
Company
is a global investment banking, securities, and investment management firm serving corporations, financial institutions, governments, and high-net-worth individuals.
What you will do
- Provide primary compliance coverage for equities sales and trading, listed derivatives, new products, and market initiatives.
- Support the broader Global Advisory and Markets - Public Compliance function in Australia.
- Maintain standards of conduct and monitor regulatory developments affecting the business.
- Design and implement compliance policies, training, testing, monitoring, and advisory programs.
- Develop strategic solutions with senior compliance management and Legal, Controllers, Risk, Engineering, Operations, and Internal Audit.
- Support regulatory and internal investigations and audits, escalating significant or unresolved issues when necessary.
Requirements
- At least 1 year of experience in compliance, legal, audit, or another control function.
- Strong analytical, problem-solving, judgment, and risk-identification skills.
- Excellent written communication and interpersonal skills.
- Ability to build relationships with senior and junior stakeholders and work effectively in a team.
- High attention to detail and ability to manage multiple priorities under tight deadlines.
Culture & Benefits
- Work in a global firm with colleagues from diverse academic and professional backgrounds.
- Access training and development opportunities and firmwide professional networks.
- Benefits include wellness, personal finance, and mindfulness programs.
- Commitment to diversity, inclusion, and reasonable accommodations throughout the recruiting process.
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