Compliance VP/Director

4 weeks ago

Sydney, New South Wales, Australia JS Careers Full time
Compliance VP/Director - Investment Banking

JS Careers is excited to be partnering with a leading global investment bank in their search for a senior compliance professional to support their investment banking division.

This key role will provide compliance expertise and leadership on all corporate finance and investment banking transactions, ensuring the firm is operating within its required Australian and global regulatory obligations.

Duties will broadly include :

  • Corporate advisory mandate and transaction approval;
  • Provide support to staff members in understanding and managing compliance with relevant laws, regulations and associated guidance, as well as the Group's policy requirements, across the conflicts of interest and market participation risk types;
  • The recording, review, prevention and escalation of material conflicts, issues, incidents, breaches and suspicious activity relating to the Group's Corporate Advisory business;
  • Advising on employee conflicts of interest disclosures and related approvals and expectations;
  • The implementation and ongoing delivery of processes and procedures designed to mitigate conflicts of interest and related reputational risk exposure;
  • Delivering compliance induction and training across the investment banking business.

Suitable candidates will bring :

  • 10+ years of experience within an investment banking (corporate finance/M&A/private side transactions) environment;
  • Deep knowledge of the Australian regulatory obligations that pertain to investment banking transactions;
  • Compliance, legal or risk management experience within an investment banking context;
  • Confident communication and presentation skills, and the ability to deliver sound regulatory advice across a broad range of business counterparts;
  • Candidates must possess full Australian employment rights.
Seniority level
  • Director
Employment type
  • Full-time
Job function
  • Legal and Accounting/Auditing
Industries
  • Financial Services, Investment Banking, and Banking

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