financial markets compliance in Sydney CBD

Sydney CBD, New South Wales
job type
AU$ 145,000 per year
reference number
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job description

Working on a broad trading floor Compliance position at a global bank with the ideal candidate having strong global regulatory knowledge and experience with Derivatives, DCM and Chinese Walls.


  • Advise and guide the business on general compliance queries or specific transactional queries (On regulations, conduct etc)
  • Trade Surveillance across asset classes as well as e-communications surveillance
  • Working on regulatory projects and advising internal stakeholders on upcoming regulatory changes e.g. UK/EU regulation (Inc MIFID II, EMIR, MAR)
  • Managing chinese walls
  • Provide internal MI reporting, compliance training
  • Ad hoc duties

Experience/skills required

  • Min 5-7 years proven experience gained in a Compliance Advisory role within Institutional or Investment Banking is essential
  • Strong understanding of Commodities, Options, Swaps, OTC/Listed Derivatives and DCM is essential
  • Strong understanding of Compliance obligations and regulators i.e. ASIC, APRA, AUSTRAC etc

Please contact Henry Sparshott on 028298 3807 or for more information. Due to the high volume of applications should you not receive a response with 7 days please assume your application has been unsuccessful.

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