Mars Recruitment is partnering exclusively with global capital markets and financial services organisation in Perth. This role sits at the heart of the business, working across Investment Banking, Research, Equity Capital Markets and Trading functions to ensure the effective management of material non-public information and information barriers. You'll partner with senior stakeholders locally and globally while gaining exposure to complex, high-profile transactions in a fast-paced capital markets environment.

This is an excellent prospect for a compliance professional looking to build or deepen their expertise within a Control Room function and gain international exposure through a globally integrated compliance framework.

Key Responsibilities:

- Manage the firm's Control Room programme, including Grey and Restricted Lists.
- Monitor and maintain information barriers between public and private-side business activities.
- Facilitate and oversee wall-crossing processes and employee wall-crossing records.
- Review research publications and ensure compliance with applicable regulatory and internal requirements.
- Support regulatory requests and compliance reporting activities.
- Assist with regulatory obligations,



controls inventories, testing and issue management.
- Act as a key point of contact for Control Room-related enquiries and escalations.
- Deliver compliance guidance and training to Investment Banking and Research teams.
- Partner with global compliance colleagues on cross-border matters and initiatives.
- Support surveillance, monitoring and securities aggregation activities where required.

Key Requirements:

- 3+ years' experience within compliance, financial services or capital markets environments.
- Knowledge of information barriers, MNPI management and conflicts management.
- Understanding of banking, securities and capital markets products and activities.
- Familiarity with ASIC, ASX and broader regulatory obligations.
- Strong stakeholder management and communication skills.
- Excellent attention to detail and ability to operate effectively in a time-sensitive environment.
- A proactive and commercially minded approach to problem-solving.

If you are open to a confidential chat, reach out to Abbey at Mars Recruitment- [email protected]

📌 Compliance Officer (Perth)
🏢 Mars Recruitment
📍 Perth