Audit, Risk and Compliance

Participants Compliance Principal


Over $100,000



Job Type


Job Ref

Date Posted

Fri, 7th January 2022

A unique opportunity has become available with a leading Financial Services firm for a Compliance professional to join their Markets team.

An exciting opportunity has become available for an experienced Compliance professional with a large local Financial Services Institution within their Financial Markets Participants Compliance team. The role will cover a full range of Compliance responsibilities including: the provision of advice, drafting policies and procedures, conducting training, undertaking reviews, reviewing of Participants, raising of emerging Risks, and conducting Compliance Risk assessments.

Key Responsibilities:

  • Support the development, implementation and ongoing continuous improvements of the businesses Participants Compliance framework
  • Proactive engagement with Lines 1 and 2 on related review matters
  • Establish and maintain effective working relationship with key stakeholders – both internal (in particular Participants Compliance, Operations and Enterprise Compliance) and external (Participants and ASIC)
  • Ensure issues/risks/findings arising from executing the Plan are appropriately escalated and resolved
  • Ensure referrals or requests for assistance with (unscheduled) Reactive reviews are escalated to the Manager, Participants Review for prioritisation within the Plan

Key Requirements:

  • Related experience in compliance, risk or audit role within Financial services
  • Knowledge of Financial Markets
  • Exposure to Settlements / related products
  • Dealt with domestic Regulators
  • Tertiary qualifications in related field
  • General understanding of Operational Risk

If you have the required experience and are interested in this role please click apply or contact Liam Sweeney via [email protected]

Job Application
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