Our client is a leading Australian-owned financial services firm with global reach through a strategic partnership with a major international bank. Entrepreneurial and partnership-focused, they operate across Corporate Advisory (Advisory, ECM, DCM), Equities (Cash Equities, Prime Brokerage, Equity Financing), Research, Fixed Income (cash and cleared derivatives), and Private Capital, with a growing international footprint.

About the Team

Operating within a three lines of defence model, the 2nd Line control function provides independent oversight and challenge across the firm's markets and advisory businesses - protecting the organisation's integrity, reputation and licences to operate.

About the Role

This is a data-driven assurance role at the centre of the firm's control environment across its trading, markets and advisory businesses. You'll combine regulatory and controls expertise with hands-on analytics to test, monitor and report on the effectiveness of key controls with a regulatory nexus - building the tools and dashboards that give the business real-time visibility into its risk and control landscape across cash equities, fixed income, derivatives and capital markets activity.

Key Responsibilities

- Assist with the design and execution of the Compliance Assurance Program, using risk assessment of the firm's markets and advisory businesses, regulatory obligations, and other risk drivers to ensure adequate coverage
- Build and run control effectiveness testing against regulatory obligations spanning trading, markets and advisory activity
- Apply data analytics to build automated controls testing,



extending coverage and depth beyond traditional sample-based testing
- Build and maintain dashboards for ongoing monitoring and independent risk assessment of the risk and control environment, partnering with Technology on rollout and tooling
- Deliver Compliance Assurance Reports on a timely, industry-standard basis, presenting findings and negotiating control issues with business stakeholders
- Maintain strong awareness of the regulatory environment, scanning the global regulatory landscape (including markets and derivatives regulation) for emerging risks and control impacts
- Build effective relationships across Compliance, the business, Risk, Internal Audit and other infrastructure functions, sharing industry best practice

About You

- Bachelor's degree in Finance, Accounting, Mathematics, Data Science or a related discipline
- 6+ years' experience in Audit, Compliance Testing or Assurance, ideally within investment banking, markets or financial services
- Strong working knowledge of market products (equities, fixed income, derivatives) and the global regulatory environment governing them
- Hands-on data analytics skills - Python, SQL, Power BI and Databricks - with a track record of applying these to controls testing or risk monitoring
- Genuine interest in and ability to apply AI to assurance and controls work
- Strong risk management mindset and sound commercial judgement
- Excellent verbal, written and negotiation skills
- A positive, team-oriented team player comfortable navigating challenging conversations

For further information, or to apply for this position, please contact Ben Hunt at JS Careers on [email protected]

📌 Manager Compliance Assurance - Leading Global Bank (Sydney)
🏢 JS Careers
📍 Sydney