Head of Compliance
at Anton Murray Consulting
Sydney, New South Wales, Australia - 00000
|Start Date||Expiry Date||Salary||Posted On||Experience||Skills||Telecommute||Sponsor Visa|
|Immediate||29 Dec, 2020||USD 200000 Annual||29 Sep, 2020||5 year(s) or above||Stockbroking,Resiliency,Commerce,Interpersonal Skills,Financial Services,Finance||No||No|
Required Visa Status:
|US Citizen||Student Visa|
|OPT||H4 Spouse of H1B|
|GC Green Card|
|Full Time||Part Time|
|Permanent||Independent - 1099|
|Contract – W2||C2H Independent|
|C2H W2||Contract – Corp 2 Corp|
|Contract to Hire – Corp 2 Corp|
Our client is a leading institutional equities broker seeking to hire a new Head or Senior Manager of Compliance to run their Compliance function in Sydney.
- Experienced compliance professional with a proven track-record in, and understanding of risk management and the regulatory and compliance environment in financial services and stockbroking.
- Minimum of 5+ years’ experience working in a legal/compliance capacity for a Australian Financial Services Licensee/stockbroker.
- Comprehensive understanding of regulatory framework governing financial services licensees and market participants
- Hold relevant tertiary qualifications in preferably Law, also consider Audit, Finance, Commerce or a similar discipline.
- Broking/Securities experience required.
- Strong communication and interpersonal skills, resiliency and sound judgement.
- Demonstrate a high degree of commercial acumen and self-motivation.
SYDNEY NSW 2000
Phone:+61 2 8246 8900
Hiring Staff: email@example.com
Seeking Work: firstname.lastname@example.org
- Develop and drive the compliance strategy across the business in a consistent manner and to manage any synergies and gaps;
- Execution and monitoring of risk management practices, operational issues and control breakdowns;
- Track and report on non-compliance items to ensure remediation plans are in place and communicated appropriately;
- Deal with, respond to and manage correspondence and statutory notices from ASIC;
- Act as the contact point with ASIC;
- Management of the risk framework within business
- Provide a full compliance advisory service to the different business units;
- Produce regular updates and report on regulatory concerns to ASIC;
- Incidents, Errors and Breach management (market participant and AFSL licensee breaches);
- Assist with AML & CTF compliance oversight and implementation;
- Balance regulatory requirements with business requirements;
- Provide constructive feedback to stakeholders in a professional manner and undertake training for gaps identified;
- Produce and regularly update and communicate a regulatory framework working alongside the core compliance team;
- Regularly promote compliance within business units;
- Develop and deliver training
- Preferable but not essential, provide general legal advice e.g. review confidentiality deeds, supplier agreements, draft employment contracts etc.
Accounts / Finance / Tax / CS / Audit
Sydney NSW, Australia