Compliance Officer Compliance Officer …

Hays Banking
in Wollongong, New South Wales, Australia
Permanent, Full time
Be the first to apply
Competitive
Hays Banking
in Wollongong, New South Wales, Australia
Permanent, Full time
Be the first to apply
Competitive
Hays Banking
See job description for details
Compliance officer, 4 years experience in Financial Markets,Package of 150k - Compliance Officer - 4 Years Experience in the Finical Market

The Compliance Officer is responsible for monitoring the group's compliance with applicable regulatory and counterpart rules.
This role primarily focuses on compliance for our client in the Asian operations, but has scope for expansion into global matters.
The successful candidate will be responsible on a day-to-day basis for executing our client's regulatory compliance monitoring programs, and reporting to management on compliance issues.
The role is particularly suited to someone 'hands-on', with high aptitude and who naturally applies a logical and commercial approach to their work.
Our clients trading desks operate across a variety of international markets, asset classes, and trading styles. As such, the role is a unique opportunity to execute end-end compliance with a varied and dynamic workload.

Key Responsibilities

• Day-to-day responsibility for implementing our clients trading compliance risk assessment programme
• Reporting on developments in trading and exchange regulation and practice in jurisdictions relevant to our client and market
• Periodic monitoring of trading and reporting activity to ensure compliance with relevant laws and regulations
• Timely maintenance and response to exchange and regulatory filing and notification obligations
• Assume day-to-day responsibility for our client's internal compliance processes under the group's policies and procedures, including monitoring internal incident logging and reporting and maintaining broker and clearer databases
• Managing the regulatory interface with counter-parties, including regulators, exchanges, brokers and other stakeholders. This includes responding to requests for information from the clients external stakeholders, such as KYC requests, meeting jurisdiction-specific requirements and recording these in their databases

Skills, Experience & Qualifications Required

• At least 4 years' compliance experience in Financial Markets. An understanding of market structure is highly desirable
• Exposure or experience in a trading, regulatory or exchange firm would also be highly beneficial
• Knowledge of the regulatory regime in Australia
• High aptitude and commercial acumen
• Can research and apply a data-driven approach
• Be able to work in a time-pressured and dynamic environment
• Demonstrate strong written and verbal communication skills, confident interpersonal skills, integrity, diligence and excellent administrative skills
• The ability to contribute to the automation and systematisation of routine L&C matters is desirable
• Degree from a recognised university
• Eligible to hold any relevant responsible officer and/or controlled function positi

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.

LHS 297508 #2524593
Company Overview

About Hays
Hays is the leading global specialist recruiting group. We are the experts at recruiting qualified, professional and skilled people worldwide, being the market leader in Asia Pacific and the UK and one of the market leaders in Continental Europe and Latin America. We operate across the private and public sectors, dealing in permanent positions, contract roles and temporary assignments.

Hays believes the right job can transform a person's life and the right person can transform a business. They are passionate about connecting candidates with the right job for them.

Hays operates in over 40 locations throughout Australia and New Zealand. They find permanent jobs for over 15,000 people a year and temporary and contract assignments for over 25,000 people a year and at any one time employ over 20,000 temporaries and contractors.

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