Job Description
Vice President Compliance Financial Markets -Investment Bank (12M FTC)
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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 Financial Markets division, the review of the Group's core policies (including the AML/CTF Program) in coordination with divisional compliance teams and the assessment of key regulatory developments impacting the Group.
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Key responsibilities
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Ongoing establishment and maintenance of an effective Compliance Framework for all aspects of the investment banking business
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Management of incidents, errors and breaches
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Handling external audit and regulator enquiries (ASIC, ASX)
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Updating Compliance Manuals and associated policies pertaining to the business units and tracking relevant changes to regulation
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Training of staff in key areas of focus from a regulatory perspective, on an ad hoc and ongoing basis
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Leading the development and oversight of compliance monitoring activities across the division
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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.
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About you
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At least 5 years' experience in an investment banking/securities compliance role with key exposure to AML/CTF
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Excellent communication and interpersonal skills across all levels of the business, and the ability to influence
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Working knowledge and application relating to AML/CTF legislation and experience dealing with a broad range of AML onboarding scenarios
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Solid regulatory compliance experience including working knowledge of the Corporations Act as applicable to Australian Financial Services Licensees (AFSL) and ASX Market Integrity Rules

📌 Vice President Compliance Financial Markets -Investment Bank (12M Ftc) (New South Wales)
🏢 JS Careers
📍 New South Wales