Monitoring and Compliance Specialist

7 days ago

Sydney, New South Wales, Australia beBeeCompliance Full time $120,000 - $150,000
Key Role: Monitoring & Compliance Specialist

This key role focuses on the development and enhancement of a robust monitoring and review framework within Participants Compliance. The incumbent will work closely with stakeholders to identify potential areas of non-compliance and implement corrective actions.

Job Responsibilities:
  • Manage the compliance relationship between ASX Group and its participants as it relates to the monitoring and review program.
  • Support the planning, design, and implementation of an ongoing monitoring and review program that ensures ASX meets its regulatory obligations.
  • Prepare management and industry reporting on the outcomes of the monitoring and review program.
  • Develop and implement a monitoring and review framework that reflects current and emerging approaches to risk and compliance.
Required Skills and Qualifications:
  • Deep understanding of financial products (equities, bonds, and derivative products) and the financial markets.
  • Broad knowledge of ASX Operating Rules covering all ASX products.
  • Detailed understanding of participants' systems, operations, and connectivity models.
  • Detailed knowledge and practical application of compliance and risk methodologies.
  • Tertiary qualification in law, accounting, finance, business, economics, or related disciplines.
  • Excellent communication and collaboration skills.
  • Critical thinking with an analytical approach.

We value diversity and inclusion in our workplace. If you need any adjustments during the application process, please let us know.

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