Compliance Associate

  • Location

    Sydney, New South Wales

  • Sector:

    Banking & Financial Services

  • Job type:

    Permanent

  • Salary:

    Negotiable

  • Contact:

    Kimberley Morton

  • Contact email:

    kimberleymorton@taylorroot.com.au

  • Job ref:

    KM662037_1566452135

  • Published:

    3 months ago

  • Expiry date:

    2019-09-21

Join a prestigious global financial institution as a Compliance Associate/Junior VP!

The Compliance Associate will be part of a team responsible for compliance oversight of the Securities business. This will include providing advice to the business, formulating appropriate policies, training, testing and monitoring, monitoring changes in laws and regulations and implementing a compliance program to ensure compliance. In addition, they will have involvement in internal committee processes, conduct trade surveillance and manage requests for information from regulators.

The successful candidate will have at least 3 years' experience in managing a compliance function in securities markets. They will have sound understanding of derivatives and structured products and a solid understanding of the applicable law and regulation. He or she will have good commercial judgment, credibility with senior members of staff, take a detailed approach and possess superior written and verbal communication skills. Further, they will have initiative and personal integrity.

To apply online, please click on the appropriate link. Alternatively, for a confidential discussion, please contact Kimberley Morton on (02) 9236 9000. For a full review of our active roles, please visit our website at www.taylorroot.com.

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.

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