Participants Compliance Principal
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.
- 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
- 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]