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Senior Compliance Manager - Broking

Job Description

Your new company
As a well-respected broker in Sydney who offer exceptional employee benefits and a high performing, dynamic workplace with an innovative and client focussed culture.

Your new role
A line 2 compliance SME role as Senior Manager, some of your responsibilities will include:

  • Evaluate and provide advice to the business on compliance issues and incidents, including managing any escalation to senior stakeholders and reporting of incidents to regulators.
  • Advise on compliance with new and existing regulatory obligations including Corporations Act, ASIC Act, privacy laws, ASIC Market Integrity Rules, ASX and Chi-X rules and other legislative obligations.
  • Identify and analyse the impact of new or proposed changes to the regulatory framework.
  • Work with the product team, marketing and ECM on new services and regulatory compliance
  • Develop and implement assurance plans to assess the level of adherence to key regulatory obligations.
  • Perform detailed risk reviews on business strategy, processes and projects, including rectification and remediation programs, and support the design and implementation of controls from a Line 2 compliance perspective.
  • Develop and maintain cooperative and effective working relationships with stakeholders, including conducting compliance obligations and emerging issues training.
  • Proactively seek opportunities to simplify risk frameworks, policies and processes

What you'll need to succeed
  • Tertiary qualification in finance, business, law or a relevant discipline is desirable
  • Understanding of compliance frameworks, financial services law, obligations in a broking environment
  • Compliance in financial markets or broking background and familiar with ASIC and ASX rules
  • Experience of compliance incident investigations and analysis, including reporting to regulators and managing complex regulatory enquiries and notices.
  • Knowledge of stockbroking, capital markets and project management will be highly regarded.
  • Excellent written and verbal communication skills, in providing concise and clear advice

What you'll get in return
A permanent role at a large broker that offers hybrid office/WFH on offer and an excellent salary and bonus package.

What you need to do now
Please apply now or email your CV to to be shortlisted

LHS 297508