Compliance Officer
3 weeks ago
- 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:
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- 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
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Please click on Apply.
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