Compliance Officer

3 weeks ago


Sydney, Australia Fitzgerald Jenkins Recruitment Full time
Banking & Finance Treasury and/or Risk Specialist Sydney Permanent / Full Time
  • Utilise your previous Financial Markets / Funds Mgt experience
  • Fantastic mentoring and collaborative team
  • ASX listed

Our client is a boutique ASX-listed financial markets firm looking to appoint an energetic and collaborative Compliance Officer on a permanent basis in their Sydney head office. 

Key responsibilities will include: 

      • ASX and ASIC reporting as required
      • Compiling incident reports for APAC compliance incidents
      • Documenting and updating documents that have been drafted by the General Counsel
      • Perform monitoring, testing and reviewing compliance controls in relation to staff compliance with firm’s policies and procedures
      • Preparing compliance reports, management reports and other ad hoc compliance duties
      • Embedding a compliance framework and mindset within the firm
      • Reviewing marketing material to ensure compliance with internal policies
        
      Requirements
      • Bachelor’s degree from an accredited University
      • Minimum 2 year’s experience in compliance within financial markets / funds management 
      • Knowledge of fixed income markets, regulations, and best practices
      • Excellent interpersonal skills and ability to work independently
      • A professional manner and willingness to learn and develop
      • Detailed orientated with strong analytical and problem-solving abilities
      • Excellent communication and interpersonal skills, with the ability to build strong relationships and collaborate effectively with stakeholders at all levels
      • Full Australian working rights & fluent English skills 

Please click on Apply.


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