Compliance Officer - Australia, Compliance
CLSA · Sydney
Position Description
The Compliance Officer will assist with the management of the compliance framework for CITICS CLSA’s Australian businesses. This role is broad, covering all facets of regulatory compliance affecting investment banking, equities and research businesses operating in Australia.
This role would suit someone with previous experience in advisory compliance, surveillance, financial crimes compliance or control room.
This is a unique opportunity for someone with two to three years’ relevant experience looking to develop and evolve his or her career as a compliance professional.
Key Areas of Responsibilities
Assist in the development and maintenance of the compliance framework to ensure that Australian licensed entities comply with all applicable regulatory requirements.
Provide timely, reliable compliance advice to the Equities, IB, ECM, Research, Wealth Management, Equity Derivatives Group and other businesses.
Track regulatory changes/new regulations and advise all relevant CITICS CLSA stakeholders on the impact and the deliverables required and implement any changes on policies or procedures where appropriate.
Maintain and update Policies and Procedures.
Provide training on relevant regulatory topics impact the Australia business.
Monitor staff dealing activity and compliance with staff dealing policy.
Assist with oversight of the trade surveillance program SMARTS Broker.
Complete targeted, thematic compliance reviews.
Act as point of contact for ASIC, ASX, Cboe in responding to regulatory enquiries.
Oversee and provide guidance on CLSA’s AML Program.
Attend industry committee meetings such as the AFMA Markets and AML Compliance Committees.
Assist with regulatory inspections or regulatory audits on CLSA licensed entities in Australia.
Keep the Head of Compliance apprised of all issues.
Assist in global project / tasks as and when needed from the head office.
Requirements
Bachelors degree or above in Law or relevant disciplines.
Minimum one to two years relevant compliance experience in financial markets, investment banking, research compliance or financial crime compliance.
Sound understanding of Australian financial services laws, ASIC Market Integrity Rules, ASX and Cboe Operating Rules and the AML/CTF Act.
Possess curiosity, initiative, independence, autonomy and a logical and methodical approach to problem solving, and excellent record keeping skills.
Be able to foster a constructive and effective working relationship with all CLSA stakeholders.
Be a team player but also have the ability to work autonomously and show initiative.
Be comfortable working in a trading floor environment.
Be able to foster excellent relationships with the business and regulators.
Be a quick learner who shows initiative with good, sound judgment.
Be willing to grow and develop as compliance professional.
Have a keen interest in financial markets.
Have excellent verbal/written communication skills and interpersonal communication skills.
Be able to demonstrate strong investigative and analytical skills.
Be able to multi-task and prioritise workload.
Have excellent attention to detail.
Excellent command of both spoken and written English.
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