Senior Compliance Manager

2 weeks ago

Sydney, New South Wales, Australia ROBERT WALTERS AUSTRALIA Full time

Opportunity to join a leading investment bank reporting directly into the Head of Compliance.

Key Responsibilities:

  • Ensure compliance with all applicable CFTC, SEC, and other regulatory requirements related to swap transactions. Monitor and interpret new and existing regulations and their impact on the organisation.
  • Develop, implement, and maintain compliance policies and procedures for swap transactions. Update internal policies to reflect regulatory changes.
  • Oversee the monitoring and surveillance of swap trading activities to identify and mitigate compliance risks. Conduct regular reviews and audits of swap transactions.
  • Provide training and support to staff on swap compliance requirements. Develop educational materials and conduct training sessions to promote compliance awareness.
  • Prepare and submit required regulatory reports. Maintain accurate records of compliance activities and ensure timely reporting to regulatory bodies.
  • Conduct risk assessments related to swap transactions and develop strategies to mitigate identified risks. Collaborate with the risk management team to ensure comprehensive risk coverage.
  • Coordinate with internal audit teams to ensure regular compliance audits are conducted and findings are addressed promptly.
  • Act as the primary liaison with regulatory bodies on swap compliance matters. Work closely with legal, trading, and other departments to ensure a cohesive approach to compliance.
  • Investigate and resolve compliance incidents related to swap transactions. Implement corrective actions and preventive measures to avoid recurrence.

Key Requirements:

  • Bachelor's degree in Finance, Law, Business Administration, or a related field. Advanced degree or professional certification (e.g., JD, MBA, CPA, CFA) is preferred.
  • Minimum of 5-7 years of experience in a compliance role within the financial services industry, with a focus on swaps and derivatives.
  • In-depth knowledge of CFTC, SEC, and other relevant regulations governing swap transactions.
  • Detail-oriented, proactive, and able to manage multiple tasks in a fast-paced environment. High ethical standards and integrity.

Aboriginal and Torres Strait Islander Peoples are encouraged to apply.
To apply please click apply or call Ali Heffernan on for a confidential discussion.

Contract Type: FULL_TIME

Specialism: Banking & Financial Services

Focus: Compliance

Industry: Banking

Salary: Competitive Salary

Workplace Type: Hybrid

Experience Level: Senior Management

Location: Sydney CBD

FULL_TIME

Job Reference: /001

Date posted: 7 June 2024

Consultant: Ali Heffernan

sydney banking-financial-services/compliance banking Sydney CBD New South Wales AU Robert Walters true

Our client is seeking a dedicated and detail-oriented Know Your Client (KYC) Analyst to join their dynamic team in Sydney. This role offers an exciting opportunity to provide comprehensive KYC, New Account Opening, Client Reference Data Analysis and Services, and Data Management solutions within the organisation's systems.

  • Opportunity to work in a dynamic and fast-paced environment
  • Key role in managing new client adoptions, remediation's, and exceptions
  • Chance to make significant contributions to regulatory compliance and data management

Corporate and Institutional Relationship Manager

An exciting opportunity has arisen for a talented Portfolio Manager to join a dynamic team.

Our client is seeking a Senior Investment Operations Analyst to join their dynamic team. This role is a key conduit between Investment Operations, investment teams and various project stakeholders within the Asset Management business. The successful candidate will not only play a vital role in daily operations but also support various change initiatives including client transitions, portfolio on-boarding/off-boarding and custody migration work impacting Investment Operations.

Salary: AUD130,000 - AUD150,000 per annum

Location: Sydney

Our client is seeking a dedicated and experienced Investment Operations Manager to join their rapidly growing firm. This role offers an exceptional opportunity for the right candidate to expand their experience in the funds management industry and evolve into a more senior position. The successful candidate will be part of a team that operates across APAC.

Come join our global team of creative thinkers, problem solvers and game changers. We offer accelerated career progression, a dynamic culture and expert training.

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