Regulatory Compliance Specialist
5 days ago
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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