Head of Compliance

The Business

A global financial services provider with a diverse workforce, and building on significant recent growth, intends to diversify further. Globally the portfolio comprises a full range of banking and financial products, whereas the domestic business is primarily focused on financial advisory and global markets. The firm's Sydney office is a lean, close-knit team, and promotes a culture of autonomy.

The Role

This is a fast-paced varied role, in which you'll find yourself advising, implementing and strategising. The post can be split into the following main categories:

  1. Inward: Partnering with the business to ensure key regulatory risks are mitigated and avoided, as well as managing a range of compliance projects
  2. Outward: Managing relationships with relevant regulatory bodies
  3. Forward: Design and implementation of the compliance strategy and road-map

The Ideal Candidate

Our client is looking for a compliance leader with markets exposure, with a particular understanding of brokerage businesses (futures and options, equities and FX). Beyond this, in order to succeed, you'll need:

  • Strong leadership skills - experience leading teams in demanding environments
  • To gravitate towards autonomous situations, and demonstrate initiative as an advisor
  • Proven experience of Australian banking and licensing landscapes
  • Excellent working knowledge of the Corps Act, banking and finance law and other tangent legislation

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.