Compliance Officer - Australia, Compliance
Core
Manage the compliance framework for investment banking, equities, and research businesses in Australia, ensuring adherence to regulatory requirements and overseeing AML programs.
Role type
Mid-level compliance officer (financial services)
Builds
Compliance policies, procedures, and regulatory reporting for Australian licensed entities
Domain
Financial services / Investment banking / Regulatory compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory compliance management, AML program oversight, policy development, stakeholder advisory, trade surveillance monitoring, regulatory audit support, investigative analysis, multi-tasking
Preferred skills
Experience in advisory compliance, surveillance, financial crimes compliance, or control room operations
Technologies
SMARTS Broker
Responsibilities
Develop and maintain compliance frameworks, provide compliance advice to business units, track regulatory changes and update policies, monitor staff dealing activity, oversee trade surveillance, conduct thematic compliance reviews, act as point of contact for regulators (ASIC, ASX, Cboe), oversee AML program, attend industry committee meetings, assist with regulatory inspections/audits
Seniority
Junior to Mid-level, hands-on IC