Quantitative Risk & Analytics

Senior Compliance Analyst

Salary

Over $100,000

Location

Sydney

Job Type

Permanent

Job Ref

Date Posted

Fri, 12th June 2020

Permanent Opportunity – Sydney CBD
Flexible Work Environment
CA Qualified
Oversee compliance of a portfolio of listed entities with the Listing Rules with a focus on the information technology & telecommunication


Responsibilities:

  • Reviewing announcements and periodic filings made by your listed entities for compliance with the Listing Rules
  • Identifying potential disclosure issues and administering price query and aware letters, facilitating trading halts and voluntary suspensions, and recommending to your manager the imposition of mandatory suspensions, as required
  • Assessing draft documents lodged by listed entities for review under the Listing Rules for conformity
  • Assessing applications by your listed entities for approvals or waivers
  • Investigating allegations or complaints of non-compliance by your listed entities
  • Diligently reviewing draft documents lodged by your listed entities for review under the Listing Rules
  • Diligently processing applications by your listed entities for approvals or waivers under the Listing Rules
  • Working co-operatively with colleagues in the Market Announcements Office to process market announcements by your listed entities in a timely manner
  • Working co-operatively with colleagues in Listings Operations to process corporate actions, requests for trading halts and suspensions for your listed entities in a timely manner
  • Working co-operatively with colleagues in the Market Surveillance team to assess market activity for potential listing rule disclosure issues and other market integrity issues
  • Develop a good knowledge of the Listing Rules and their application
  • Develop your knowledge of the information technology and telecommunications sector
  • Develop the ability to understand and analyse financial reports for compliance with the Listing Rules
  • Assist other members of Listings Compliance in the performance of their functions, as and when needed

Requirements:

  • A tertiary qualification in law, accounting, finance, business, economics or related disciplines
  • Relevant industry or professional experience
  • Good oral / written communication skills
  • Able to work effectively and co-operatively in a team environment
  • Able to manage the pressure of urgent matters and competing priorities
  • An enquiring mind and the determination to push back when information or explanations provided by listed entities appear inadequate
  • Unquestionable integrity
  • Objectivity and fairness
  • An eye for detail and a concern for quality
Job Application