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Compliance Manager

Job Title: Compliance Manager
Location: Brisbane
Reference: 3026081
Job Published: November 01, 2019 16:15

Job Description

A national stockbrokers who have an excellent reputation within the Brisbane market are looking for a Compliance Officer to be based in Brisbane and have interaction with national locations supporting the Compliance framework. This is a twelve month role whereby the successful candidate will be employed directly by the business and accumulate additional benefits. 

Degree qualified within accounting, legal or commerce the successful candidate will have knowledge of the workings of Australian equity, derivatives and other financial markets and have worked across ASIC, ASX and AUSTRAC. You will be able to analyse information and understand trading and settlement practices within the business and trends in trading & clearing infrastructure. 

Providing compliance and regulatory education and training to new advisers and branch managers, you will be conducting customised audits from information provided by the compliance analysts and managing breach consequences with branch managers and advisers. you will be responsible for training of compliance policies and procedures and monitoring of adviser's and Branch Managers. You will be promoting high standards of compliance with ASIC Market Integrity Rules, ASX and other relevant market rules and Corporations. 

The ideal candidate for this role will have worked across Equities before in a Compliance capacity and be able to engage with various stakeholders in an influential manner to offer advise and guidance on policies and procedures. 

If you feel that you have relevant experience for this role then APPLY NOW. Alternatively contact me on 07 3854 3804.