Senior Compliance Manager/VP

2 weeks ago

Sydney, New South Wales, Australia JS Careers Full time $120,000 - $180,000 per year

JS Careers
is pleased to be supporting a large global capital markets player in the appointment of a senior compliance position to support their Australian division.

This role would suit a candidate with a minimum of 5 years of wholesale global markets compliance experience, seeking a role with a clear path towards taking on a country leadership position within 12-18 months.

Duties will include :

Compliance

  • Manage regulatory interactions and correspondence with ASIC, ensuring open communication and professionalism.
  • Lead regulatory engagements and inspections, draft formal correspondence and supervise audit preparation and remediation plans.
  • Monitor and interpret evolving regulatory developments in Australia and APAC markets, providing senior management with actionable insights and impact assessments.
  • Act as a subject matter expert on obligations under the Corporations Act 2001 and
  • ASIC Act.
  • Complete and assist with incident reporting, breach assessments, compliance attestations, and governance processes.

Risk Management

  • Maintain and enhance the firm's enterprise risk management framework, ensuringeffective identification, assessment, monitoring, and mitigation of key operational, conduct, and regulatory risks.
  • Lead risk workshops, maintain business-wide risk registers, and collaborate with Group Risk functions to ensure consistency in risk taxonomy and reporting.
  • Provide second-line oversight over new product launches, business model changes, and third-party engagements.

Qualifications & Experience

  • 5+ years' experience in regulatory compliance, risk, or legal roles within a regulated financial institution, ideally covering global capital markets.
  • Strong knowledge of Australian ASIC regulatory obligations, particularly those pertaining to AFSL licensing, client money regulations, and breach reporting requirements.
  • Familiarity with FX derivative products, client classification rules, product disclosure regimes, and relevant conduct obligations.
  • Proven track record in operational risk management, including risk identification, assessment, and mitigation in business environments.
  • Excellent project management skills with experience working cross-functionally in multinational organisations.
  • Relevant qualifications such as a Bachelor of Law, Finance, Economics, or Regulatory Compliance; postgraduate or industry certifications (e.g. GRC, ICA, FINSIA) highly
  • desirable.

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