Manager, Market Conduct Compliance

4 weeks ago

Sydney, New South Wales, Australia First Sentier Group Full time

3 days ago Be among the first 25 applicants

As a member of the Market Conduct Compliance team, the Manager has responsibility for the delivery of the Market Conduct Compliance framework. The role has responsibility for direct reports across several time zones.

The role holder will focus on all aspects of the Market Conduct Compliance, which includes oversight responsibility for Market Abuse, Investment Research, Trading Activities, Best Execution, Personal Account Dealing, Gifts & Entertainment and Electronic Communications.

About you

Your experience and skills

  • Compliance and Market Conduct expertise across equities, fixed income, credit, cash, and derivatives.
  • Strong understanding of investment markets, asset management controls, and regulatory frameworks.
  • Familiar with Charles River and/or BlackRock Aladdin systems.
  • Knowledge of Market Abuse, Best Execution, and Personal Account Dealing Surveillance systems.
  • Strong stakeholder and people management skills with a proactive, accountable approach to driving change and building high-performing teams.
  • Analytical and detail-oriented, with the ability to tackle complex issues and manage competing priorities.
  • Adaptable and positive, thriving in dynamic and ambiguous environments.
  • Skilled in establishing and enhancing processes, especially in start-up settings.
  • Customer-focused, with decisions guided by client needs.

Key responsibilities

  • Support the Global Head of Market Conduct Compliance in developing and delivering the compliance framework.
  • Provide specialist advice and respond to internal/external queries.
  • Investigate alerts and monitoring outputs for suspicious trades or policy exceptions.
  • Conduct surveillance on Market Abuse, Best Execution, PA Dealing, and Gifts & Entertainment.
  • Develop automated monitoring solutions and streamline reporting processes.
  • Collaborate with stakeholders to gather data for tracking and board reporting.
  • Maintain stakeholder relationships and engage with internal/external audit.
  • Represent the compliance team in forums and promote a strong risk and compliance culture.
  • Stay updated on regulatory changes and integrate them into controls.
  • Participate in broader business projects and act as deputy when needed.
  • Uphold integrity and prioritize investor interests in all actions.

About us

Powering possibilities

At First Sentier Group, we believe it is our responsibility to help clients achieve the financial freedom they desire, unlocking a world of possibilities.

We support our distinct affiliate investment teams to deliver meaningful investment outcomes. By combining their specialist investment knowledge with our global support, we create an innovative and agile operating model designed to effectively respond to our clients' needs.

We pride ourselves on our client-centric approach, ensuring we are all working towards achieving our clients' goals and enhancing their possibilities for the future, while continually striving for better.

Our success relies on our ability to deliver outstanding client outcomes, supported by our culture and an efficient, sustainable and scalable business. We are committed to investing in our people to ensure we attract, develop and retain the talent to deliver these outcomes, guided by our vision, purpose and values.

  • Care: we care about our clients, society and each other.
  • Collaboration: we collaborate to deliver the best solutions.
  • Openness: we are open with each other, and to different ways of thinking.
  • Dedication: we are dedicated to being experts in our respective fields.

Why work with us

Working at First Sentier Group gives you access to a growing, values-led organisation with competitive pay and industry-leading benefits including:

  • Flexible working and a gender-neutral parental leave programme that provides 26 weeks' paid leave in every region
  • Global collaboration, international mobility and the opportunity to build your career in different markets
  • Employee-driven charitable foundation allows our people to give back in their local communities through donation-matching and paid volunteering days
  • Access to learning and development opportunities including in-house training and external programs

Corporate Sustainability & B Corp

We are committed to ensuring that as a firm, we are contributing to building a sustainable economy and society by improving our environmental, social and governance standards and holding our own business to the same standards that we expect of the companies that we invest our clients' capital in; and by doing so, reinforcing our position as responsible investors. Find out more at this page: Corporate Sustainability

In 2022, First Sentier Group became a globally certified B Corp. B Corp Certification provides a framework that we can use to effectively assess our operations against high standards from an environmental, social and governance point of view, as well as to identify areas where we can enhance and improve. Based on the B Impact Assessment, First Sentier Group earned an overall score of 107.2, as of November, 2022. Find out more at this page: B Corp Certification

Our commitment to Diversity, Equity & Inclusion (DE&I)

At First Sentier Group, we value the different experience, ideas and perspectives that our people bring to the work they do. We are committed to fostering an inclusive and equitable culture where diversity can thrive. We believe this leads to better outcomes for our people and our clients, and it's the right thing to do.

We provide equal employment opportunities to applicants regardless of race, religion, sex, sexual orientation, gender identity or expression, disability, age, family status, or any other category protected by law.

We are a proud Disability Confident Employer and a member of the Business Disability Forum.

Application & Interview Process

  • We will conduct a 2-stage interview process. The format of the interviews will be explained throughout the recruitment process.
  • If you require any workplace adjustments throughout the recruitment process or as part of the role, please let us know so we can support you.
Seniority level
  • Seniority levelMid-Senior level
Employment type
  • Employment typeFull-time
Job function
  • Job functionFinance

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