Compliance Officer (Control Room) | Capital Markets
The Company
This leading global financial services firm specializes in wealth management and capital markets, providing expert advisory and financing solutions to clients across various sectors. With a strong focus on client relationships and a commitment to delivering innovative investment strategies, the company is known for its extensive market knowledge and dedicated professionals.Their integrated approach ensures that clients receive tailored services designed to meet their unique financial goals
The Role
This role is crucial in ensuring compliance with regulatory requirements and internal policies while monitoring trading activities. Duties will include:
Monitor and analyze trading activities to identify potential compliance issues, conflicts of interest and market abuse.
Maintain and update watch lists and restricted lists, ensuring accurate records of insider information.
Conduct real-time surveillance and provide timely reports on trade alerts and exceptions.
Collaborate with wider compliance and risk management teams to ensure adherence to regulations.
Assist in the development and implementation of control processes and policies.
Provide support during regulatory audits and internal investigations.
Your Profile
The successful candidate will demonstrate:
- Bachelor's degree in Legal, Finance, Business, or a related field.
- Previous experience in a control room or compliance role within capital markets is preferred.
- Strong analytical skills and attention to detail.
- Excellent communication and teamwork skills.
Apply Today
Please send your resume by clicking on the apply button. Your application will be assessed within 3 working days. Please note only shortlisted candidates will be contacted.
Learn more about our Sydney recruitment services: https://www.roberthalf.com.au/recruitment-agency-sydney
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