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.
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.