About the role

This is a 12 month fixed term contract position that will take a leading role in the delivery of the compliance program for the Group's investment banking division, the review of the Group's core policies (including the AML/CTF Program) in coordination with divisional compliance teams and assessment of key regulatory developments impacting the Group.

Key responsibilities

Ongoing establishment and maintenance of an effective Compliance Framework for all aspects of the investment banking business

Management of incidents, errors and breaches

Handling external audit and regulator enquiries (ASIC, ASX)

Updating Compliance Manuals and associated policies pertaining to the business units and tracking relevant changes to regulation

Training of staff in key areas of focus from a regulatory perspective, on an ad hoc and ongoing basis

Leading the development and oversight of compliance monitoring activities across the division

Review, drafting and maintenance of the Group's key compliance policies including but not limited to Conflicts of Interest, Anti-Bribery and Corruption, Personal Trading, Securities Dealing etc.

About you

At least 5 years' experience in an investment banking/securities compliance role with key exposure to AML/CTF

Excellent communication and interpersonal skills across all levels of the business, and the ability to influence

Working knowledge and application relating to AML/CTF legislation and experience dealing with a broad range of AML onboarding scenarios

Strong regulatory compliance experience including working knowledge of the Corporations Act as applicable to Australian Financial Services Licensees (AFSL) and ASX Market Integrity Rules