An opportunity for an experienced compliance professional to join a Control Room function in Sydney, ensuring the integrity of information barriers across complex financial businesses. This role plays a critical part in managing regulatory risk, advising stakeholders, and supporting key transactions across global markets.

Client Details

Our client is a leading global investment bank with a robust presence across capital markets, asset management, and advisory services. The firm operates at scale internationally and is recognised for its robust compliance framework and commitment to regulatory excellence.

Description

- Maintain restricted trading lists, confidential lists, and other information control frameworks
- Monitor and control information flows between private-side and public-side business units
- Partner with Legal and Compliance teams to enforce regulatory restrictions on trading, research, and advisory activities
- Review research publications to ensure adherence to applicable regulations and firm policies
- Apply relevant rules governing communication between research and corporate advisory teams
- Support transaction-related compliance processes, including materiality assessments and approvals




- Advise business stakeholders on compliance implications linked to live deals and market activity
- Collaborate with regional and global teams on process enhancements and control improvements

Profile

- Degree-qualified with ~3+ years' compliance experience within financial services
- Prior exposure to Control Room or private-side compliance strongly preferred
- Solid understanding of financial markets, corporate advisory, and regulatory frameworks
- Strong communication skills with the ability to influence stakeholders
- Detail-oriented with strong organisational and multitasking capability
- Proven ability to operate effectively in a fast-paced, high-pressure environment
- Experience managing processes and providing guidance or training to stakeholders

Job Offer

- Opportunity to work within a high-profile global financial institution
- Exposure to complex, high-value transactions and senior stakeholders
- Collaborative, diverse, and high-performing team environment
- Strong emphasis on professional development and internal mobility
- Competitive remuneration and benefits package

To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Zack Dennis on +61 2 8292 2211.

📌 Control Room Compliance VP (Sydney)
🏢 MPAU Finance
📍 Sydney