Compliance Manager

Boutique Sydney Stockbroking and Corporate Advisory Firm | Sydney CBD | Full time

About the firm

An established boutique Sydney stockbroking and corporate advisory firm, licensed to provide financial services in Australia. The business works with wholesale and sophisticated investors across secondary market execution, equity capital markets and equity research, with a client base of ASX small and mid-cap companies across resources, energy and technology.

The role

The firm is seeking an experienced compliance professional to own the compliance function outright.

This is a hands-on position. The successful candidate will be the compliance function rather than one part of it. The work spans everything from AML onboarding through to conflicts clearance on live ECM mandates. The role reports to the Managing Director, with a standing reporting line to the board.

Key responsibilities

Licence and compliance framework

- Own the compliance framework end to end: policies, registers, compliance calendar and the annual review cycle
- Monitor AFSL conditions and manage annual lodgements, financial resource requirements and the annual audit
- Run the reportable situations regime under s912DAA, from identification through to lodgement with ASIC within statutory timeframes
- Maintain fit and proper assessments, authorisations and the representative training register

Markets and trading supervision

- Monitor trading for insider trading, market manipulation, front-running and other misconduct
- Oversee obligations under the ASIC Market Integrity Rules and ASX Operating Rules, including best execution, crossings and error trades




- Administer the personal account trading policy and maintain the watch, restricted and grey lists
- Manage information barriers, wall-crossing logs and insider registers on live transactions

Corporate advisory, ECM and research

- Clear conflicts on current mandates and maintain the conflicts register
- Review placement, SPP and rights issue documentation against the fundraising exemptions (ss 708, 708A, 708AA) and client classification requirements (ss 761G, 761GA)
- Sign off equity research for compliance with RG 264, including research independence and conflicts disclosure

Client obligations and assurance

- Own the AML/CTF Program: KYC and ongoing due diligence, transaction monitoring, AUSTRAC reporting and the independent review cycle
- Run the monitoring program: file reviews, communications surveillance and review of marketing material
- Maintain the internal complaints handling process and register, manage professional indemnity renewal, and handle correspondence with ASIC, ASX and AUSTRAC
- Report to the board and deliver compliance training to staff

About you

Essential

- Minimum 5 years' compliance experience in Australian stockbroking, investment banking or funds management. This is not a step up from an analyst seat
- Working knowledge of Chapter 7 of the Corporations Act, AFSL obligations,



the ASIC Market Integrity Rules and the AML/CTF Act
- Proven capability as a sole compliance resource, setting the agenda rather than executing someone else's
- Sound commercial judgement. The firm needs someone who finds the compliant path and documents it, not someone whose default answer is no
- Strong drafting across policies, board papers and regulator correspondence, and the confidence to hold a line with senior people

Desirable

- ECM and corporate advisory conflicts management, information barriers, and research compliance under RG 264
- Experience with compliance or order management systems such as IRESS or Complii
- SIAA membership, or a legal, accounting or GRC qualification
- Prior Responsible Manager status, or the capacity to be nominated as one

What is on offer

- Base salary of $100,000 to $150,000 plus superannuation, depending on experience
- Full-time permanent position with hybrid working available
- Direct reporting line to the Managing Director and a standing line to the board. The role has genuine standing
- Broad scope across execution, ECM, research and advisory in a single seat
- Exposure to ASX capital markets transactions from mandate through to completion
- A small, senior team where the compliance view is sought early rather than at the end

How to apply

Applications are treated in strict confidence. Please submit a CV and short cover letter via this listing. The firm's name will be disclosed to shortlisted candidates.

Applicants must hold unrestricted Australian work rights. The firm is an equal opportunity employer.

Pay: $110,000.00 – $150,000.00 per year

Work Location: In person

📌 Compliance Manager (Sydney)
🏢 Important Company of the Sector
📍 Sydney