Compliance Analyst
2 weeks ago
Sydney- Investment Banking- PermanentResponsible for daily compliance tasks for the Asia Pac region with a focus on Japanese markets and regulations.
Responsibilities:
- Provide training & guidance on financial markets & products, trading strategies (e.g. short selling).
- Liaise with regulators & exchanges (primarily Australia & Hong Kong, Japan).
- Ensure compliance with antimoney laundering (AML) procedures & provide AML training.
- Ensure compliance with statutory reporting requirements (e.g. substantial shareholding reports, short position reports).
- Review IT trading systems, development & testing of systems & controls.
- Maintenance & review of proprietary trading systems controls, filters, parameters & reports.
- Maintenance & development of regulatory licence programs, compliance manuals, policies/procedures.
Compliance Knowledge to be Accumulated
- Knowledge of Asia Pac and Japanese market & exchange regulations.
- Australian Corporation Law & Hong Kong Companies Code.
- ASIC AFSL & Hong Kong SFC Licence regime.
- ASIC Market Integrity Rules, HK SFC Regulations & Guidelines, MAS Regulations.
- ASX & Chi-X Operating Rules & Procedures, HKEx Market Rules & Procedures, SGX-DT Rules.
- AUSTRAC AML Legislation and Rules.
- FCPA (Foreign Corrupt Practises Act).
- Dodd Frank Swap Rules & EMIR.
- FATCA (Foreign Account Tax Compliance Act).
- OTC derivatives transaction reporting.
Applicant Requirements
-
Fluent Japanese is required:
- Professional or industry qualifications preferred.
- Excellent writing & communication skills.
- 12 years compliance experience.
- Equity & derivative market experience/exposure preferred (but not essential)
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