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Compliance Analyst

  • New Securities Broker set up in Sydney

  • Be part of a rapid growth story

  • Newly created stand alone Compliance role

Compliance Analyst or Manager job based in Sydney for a new securities broker

Your new company
This company are a new securities broker based in Sydney and are looking at building a solid presence in the market, being part of a wider global brokerage firm.

Your new role
As Compliance Officer or Manager, some of the responsibilities will be:

  • Help draft the companies’ policies and procedures

  • Keep abreast of regulatory compliance and update relevant compliance policy and procedures accordingly and advise the business

  • Implementing a robust compliance culture from the offset and working with the business to ensure this through advisory and training

  • Perform regular compliance and control testing to ensure compliance with regulatory and licensing requirements and their implementation effectiveness

  • ASIC lodgements and local compliance committee reporting and being the point of contact with ASIC, AUSTRAC and FOS

  • Maintain accurate and timely compliance records and various compliance registers

  • Participate in risk event investigation and compliance self-assessment exercises

  • Looking at the AML/CTF programme and ensuring compliance with Australian laws

  • Perform some general accounting work at first, such as reconciliations and inputting expenses and receipts into SAGE

  • If a more senior applicant, become responsible manager on the license

You will be able to make the role your own as it is a newly created standalone role, with some offshore dealings in Hong Kong and Japan part of the role.

What you'll need to succeed
You will require experience from a securities broker in compliance around equities. Derivatives and FX experience will also be considered. You will hold tertiary qualifications in a business related degree. You will be self-motivated and be able to work as a standalone compliance individual as the company grows and ensure all business is compliant. You will possess strong written and verbal communication skills and highly astute attention to detail. Ideally, you will possess broking experience at a discount or full service broker.

What you'll get in return
A fantastic permanent opportunity to work for a new securities broker specialising in offering international shares and be part of something new and exciting. The office will be small at first and but will look to grow significantly over the next year. They are open to experience and will look between 75k - $130K Plus Super, depending upon the credentials and experience the candidate can bring. This is an excellent opportunity to be part of a growth story and to own the compliance function from the beginning.

What you need to do now
If you feel you fit the criteria and are interested in the role, please click ‘apply now’ or contact Philip Lewis on 02 8226 9752 or email your CV to philip.lewis@hays.com.au

Date Posted
Banking & Finance
Sydney, NSW 2000
Job Type
Full Time, Permanent
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