AddressJS Careers is currently sourcing an experienced compliance professional for a global financial services provider in Sydney. This role will take specific carriage of all Licensing and Registrations for the firms' global operations.
Candidates are sought from investment banking and financial markets regulatory backgrounds, with particular focus on licensing obligations in the US/Europe (SEC, CFTC, FSA).
Duties will entail :
- Development of compliance policies, procedures, manuals and rule databases;
- Management of current Licensing and registration obligations, along with driving new licensing initiatives.
- Investigate, compile and draft responses to regulatory enquiries;
- Attend and prepare documents for internal meetings and committees to keep members appraised of regulatory developments or regulatory risks;
Qualifications :
- Existing compliance knowledge and 8+ years experience in the financial markets/investment banking market.
- Strong preference will be given to candidates with exposure to US CFTC regulatory obligations.
- Degree qualification in either commerce/business economics, law or related discipline;
- Strong practical product knowledge of trading and market making (including Swaps);
- Excellent verbal and written communication skills;
- Strong project management skills.
