(Senior) Compliance Analyst, Australia

  • Location

    Sydney CBD, New South Wales

  • Sector:

    Banking & Financial Services

  • Job type:

    Permanent

  • Salary:

    AU$90000 - AU$120000 per annum

  • Contact:

    Toby Tank

  • Contact email:

    tobytank@taylorroot.com.au

  • Job ref:

    20180919MoelisCA_1537322566

  • Published:

    about 2 months ago

  • Expiry date:

    2018-11-02

  • Startdate:

    ASAP

  • Consultant:

    #

The Business

Moelis Australia Limited is an ASX-listed diversified financial services firm with a market cap of over $900 million. Moelis Australia operates two distinct business segments: Corporate Advisory & Equities and Asset Management.

The Role

You will be involved in monitoring and enhancing the day-to-day compliance functions across multiple licensed businesses including funds management businesses, a securities trading and research business, a corporate advisory business and a consumer credit business.

This is an autonomous role in a lean but growing Legal & Compliance team. You will report to the General Counsel and work closely with the Legal & Compliance Manager on a day to day basis. On proving yourself, you will enjoy opportunity for growth within the group. Your focus will include:

  • Client on-boarding (including customer due diligence)
  • Policy and regulatory updates across the group
  • Dealing with regulator queries
  • Monitoring and management reporting of activities (including trading activity)
  • Maintenance of compliance registers, corporate record keeping,
  • Conducting compliance-related staff training
  • Reviewing customer complaints

The Ideal Candidate

Ideally you can demonstrate a thorough knowledge of the Corporations Act, AML and CTF legislation (including KYC checks), FATCA and CRS requirements and Privacy / data breach legislation. As well as being confident and ambitious, you'll probably also:

  • Have 2-4 years' hands-on compliance experience, whether in-house or in a Big 4 firm
  • Possess an interest in financial markets
  • Communicate with ease, and enjoy engaging with a variety of stakeholders
  • Confidently analyse large volumes of complex data, and produce timely reports

If you've been waiting for a role that grows with you, and for the opportunity to make your mark, this is it.

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.