Compliance Manager - Investment Banking - 12 month fixed term contract

This is a 12 month fixed term contract position that will take a leading role in the delivery of the compliance program for the Group's investment banking division, the review of the Group's core policies (including the AML/CTF Program) in coordination with divisional compliance teams and assessment of key regulatory developments impacting the Group.

Key responsibilities

- Ongoing establishment and maintenance of an effective Compliance Framework for all aspects of the investment banking business
- Management of incidents, errors and breaches
- Handling external audit and regulator enquiries (ASIC, ASX)
- Updating Compliance Manuals and associated policies pertaining to the business units and tracking relevant changes to regulation
- Training of staff in key areas of focus from a regulatory perspective, on an ad hoc and ongoing basis




- Leading the development and oversight of compliance monitoring activities across the division
- Review, drafting and maintenance of the Group's key compliance policies including but not limited to Conflicts of Interest, Anti-Bribery and Corruption, Personal Trading, Securities Dealing etc.

About you

- At least 5 years' experience in an investment banking/securities compliance role with key exposure to AML/CTF
- Excellent communication and interpersonal skills across all levels of the business, and the ability to influence
- Working knowledge and application relating to AML/CTF legislation and experience dealing with a broad range of AML onboarding scenarios
- Solid regulatory compliance experience including working knowledge of the Corporations Act as applicable to Australian Financial Services Licensees (AFSL) and ASX Market Integrity Rules

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📌 Compliance Manager - Investment Banking - 12 month fixed term contract (New South Wales)
🏢 JS Careers
📍 New South Wales