Senior Compliance Officer - Wealth Management
|Job Title:||Senior Compliance Officer - Wealth Management|
|Job Published:||March 23, 2018 15:59|
This is a twelve month contract that will allow the successful candidate to be employed directly by the business and accumulate additional benefits.
The key responsibilities will be 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 the 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 will be 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.
If you feel that you have relevant experience for this role then APPLY NOW. Alternatively contact Sara on 07 3854 3804.