This is an excellent opportunity for a compliance professional looking to build or deepen their expertise within a Control Room function and gain international exposure through a globally integrated compliance framework.

Key Responsibilities:

• Manage the firm's Control Room programme, including Grey and Restricted Lists.
• Monitor and maintain information barriers between public and private-side business activities.
• Facilitate and oversee wall-crossing processes and employee wall-crossing records.
• Review research publications and ensure compliance with applicable regulatory and internal requirements.
• Support regulatory requests and compliance reporting activities.
• Assist with regulatory obligations, controls inventories, testing and issue management.
• Act as a key point of contact for Control Room-related enquiries and escalations.
• Deliver compliance guidance and training to Investment Banking and Research teams.
• Partner with global compliance colleagues on cross-border matters and initiatives.
• Support surveillance, monitoring and securities aggregation activities where required.

Key Requirements:

• 3+ years' experience within compliance, financial services or capital markets environments.
• Knowledge of information barriers, MNPI management and conflicts management.
• Understanding of banking, securities and capital markets products and activities.
• Familiarity with ASIC, ASX and broader regulatory obligations.
• Strong stakeholder management and communication skills.
• Excellent attention to detail and ability to operate effectively in a time-sensitive environment.
• A proactive and commercially minded approach to problem-solving.

If you are open to a confidential chat, reach out to Abbey at Mars Recruitment- abbey.lynch@marsrecruitment.com.au