Senior Compliance Specialist

4 weeks ago


Sydney, New South Wales, Australia ASIC Full time

About the Role

ASIC is seeking a highly skilled professional to join its team as a Senior Compliance Specialist. In this role, you will be responsible for reviewing and testing compliance of intermediaries and issuers in the wholesale markets. Your duties will include onsite surveillances and desk-based reviews.

About You

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


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