Regulatory Compliance Specialist

5 days ago


Sydney, New South Wales, Australia ASIC Full time

About the Role

ASIC is seeking a highly skilled Regulatory Compliance Specialist to join our team. As a key member of our compliance team, you will play a critical role in ensuring the integrity of our wholesale markets.

Key Responsibilities

  • Conduct onsite surveillances and desk-based reviews to ensure compliance with regulatory requirements.
  • Provide strategic analysis and guidance on technical and policy issues related to private markets and compliance.
  • Draft various documents, including letters, memoranda, and public reports, to communicate findings and recommendations.
  • Collaborate with colleagues to contribute to projects and share knowledge and information.
  • Lead and manage surveillance projects to deliver outcomes within defined timeframes.

About You

  • You hold a Bachelor's degree in law and/or a relevant finance or business-related qualification, or equivalent substantial relevant work experience.
  • You have a working knowledge and understanding of private capital funds and wholesale OTC markets.
  • You have experience in a legal, compliance, risk, or business analyst role within a financial services environment or a regulatory environment.
  • You have an understanding of relevant legislation and industry guidance related to wholesale private capital funds or OTC intermediaries.
  • Experience in providing advice and working on policy matters related to wholesale markets is desirable.
  • You have demonstrated experience in managing complex projects to deliver outcomes.


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