AVP/VP – Compliance & Surveillance, Equities

 

Global Investment Bank

Circa 150-180K

This is a global financial services institution and full service investment banking group. Due to substantial growth of the business locally we are seeking to appoint an AVP/VP level compliance professional for the equities business.

 

As part of the Asia Pacific legal & compliance team you will ensure that the business is fully informed of its regulatory obligations and co-ordinate and run relevant compliance training, develop local compliance procedures, undertake risk assessment and monitoring ????? ????? prepare and disseminate compliance alerts and manage any remediation. The key focus of the role will be advisory to equities sales, proprietary trading, research and stock borrowing and to provide guidance and advice on transactions and maintain the firm’s Chinese wall policy. You will be the contact point for liaison with the regulator and for complaints and any industry working group activities.

 

To be suitable for this position you will need to have an expert knowledge of the relevant provisions of the corporations act, licensing requirements, ASX market rules, settlement and clearing. You must be a clear, concise communicator and commercially astute. The successful applicant will need to be able to manage being challenged and able to provide potential solutions to new and changing business activities involving compliance and regulatory risks.

 

For further information, please contact ????? ????? on (??) ???? ???? or email ???@???.??? reference number AA(??) ???? ????M. All enquiries will be handled in strict confidence. For a full review of all our roles please visit mycareer.com.au