Compliance, Global Advisory and Markets, Equities, Analyst, Sydney
Core
Provide real-time compliance coverage and support to the Equities sales and trading businesses in Australia, ensuring adherence to laws and regulations to mitigate regulatory and reputational risk.
Role type
Analyst, Compliance (Global Advisory and Markets - Public)
Builds
Compliance programs, policies, training, and monitoring frameworks for Equities operations
Domain
Financial Services / Investment Banking / Equities
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Compliance risk management, regulatory monitoring, policy formulation, training design, audit support, risk analysis, judgment under pressure
Preferred skills
Legal or audit background, proactive risk identification, strategic solution development
Technologies
N/A
Responsibilities
Monitor changes in laws and regulations affecting the businesses; Formulate appropriate policies, training, testing and monitoring and advisory coverage for the business; Support handling of regulatory and internal investigations/audits; Conduct regular compliance training for business unit professionals and supervisors
Seniority
Analyst, entry-level to junior