Compliance Manager - Global Brokerage - 6+ Month Contract

  • Location:

    Sydney, New South Wales

  • Sector:

    Banking & Financial Services

  • Job type:


  • Salary:

    £155000 - £155001 per annum + + Benefits

  • Contact:

    Andrew Rogers

  • Job ref:


  • Published:

    23 days ago

  • Expiry date:


The Opportunity

A global brokerage are growing their compliance and risk function as the firm's footprint continues to increase across the Asia-Pacific region. The Hong Kong based compliance function will now introduce an on the ground resource to support the business' ongoing regulatory needs, with a dedicated Compliance Manager for the Sydney office.

This role is initially for six months, however their is a likelihood of further contract extensions or a conversion to a permanent position.

The Role

You will be working closely with both the central APAC legal and governance team and the local senior leadership team to deliver monitoring, implementation, and advice on of a wide range of compliance requirements for the brokerage. Your role will include but not be limited to:

  • Maintaining relationships with key regulatory bodies and ensuring the management of regulatory enquiries, surveys and inspections for both domestic and international jurisdictions
  • Oversight and development of the controls, supervisory and monitoring function
  • Delivery of compliance training, communications and projects
  • Pro-actively planning and implementing regulatory reform and other compliance projects for the business.

To Be Considered

You will have a deep knowledge of equities, the Australian market structures and relevant regulatory issues, developed within a regulatory body, global financial services or consultancy firm. You will be organised, highly analytical and able to demonstrate strong project management skills.


Please contact Andrew Rogers on 02 9236 9002 or for a confidential discussion about this role or the wider compliance market.

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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Taylor Root is part of The Specialist Recruitment Group PTY LTD, which is acting as an Employment Agency in relation to this vacancy.

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