VP - Compliance

Location
New South Wales, Sydney
Salary
AU$180000 - AU$200000 per annum + super
Posted
26 Jul 2019
Closes
26 Aug 2019
Ref
2B/61028
Contact
Simonn Lourens
Job role
Audit
Contract type
Permanent
Hours
Part time
  • Providing compliance advice to front office personnel on sales and trading issues.
  • Providing compliance advice to front office personnel on Investment Banking and private side issues.
  • Maintaining regulatory and exchange relationships, including dealing with exchange queries, investigations and audits as well as formal regulatory enquiries from regulators.
  • Assisting the monitoring and surveillance team within Compliance with the on-going design and build out of surveillance tools and reporting. The candidate will also look to create and maintain their own floor based monitoring and review process and procedures in addition to those created centrally within Compliance.
  • Assisting in the response to alleged violation of rules, regulations, policies, procedures and standards of conduct by evaluating, recommending the initiation of, and/or carrying out the investigative procedures.
  • Ensuring Global Control Room responsibilities are executed in coverage hours and liaising proactively with Control Rooms in other locations on a regular and frequent basis, to ensure consistent and coordinated approach to Control Room process, working on reinforced harmonisation of best practices and translation of regulatory development onto Control Room processes.
  • Maintaining the Watch, Restricted and Insider Lists and associated processes.
  • To clear Investment Research against the Watch and Restricted Lists and maintain the input of conflicts of interest data into Investment Research systems, including for regulatory disclosures.
  • Assisting and advising on investment banking (M&A and capital markets) transactions.
  • Assisting the business in conflicts management processes: conducting checks on proposed relationships and origination transactions to identify potential conflicts of interest; analyzing any potential conflicts identified with the relevant business units to ensure their timely resolution or escalation to senior business management.
  • Provision of advice to the business on issues regarding Information Barriers, wall crossings procedures, insider lists, and other procedures pertaining to investment banking.
  • Assisting in the identification of potential areas of compliance vulnerability and risk; developing/implementing corrective actions plans for the resolution of problematic issues, and providing general guidance on how to avoid or deal with similar situations in the future.
  • Providing training to front office personnel on general regulatory matters such as the code of market conduct, sales practices as well as other regulatory matters. This would also include a thorough Compliance induction when a front office person joins the Firm.
  • Managing regulatory projects
  • Participation in industry groups representing the company.
  • Building and maintaining strong relationships with the front office, operations, audit and other departments.
  • Supporting the development of a strong and consistent compliance culture across all areas of the business and pro-actively identify and manage regulatory compliance risk
  • Ensure that the Compliance Heatmap and Compliance plan is completed annually and track against its objectives
  • Review of daily exception reports and follow-up/escalation as required
  • Ensure all employee PA Trading, OBI and other disclosures are processed, and queries on which are answered in a timely manner.
  • Conducting compliance investigations needed as a result of monitoring or business/regulator/exchange-generated enquiries.
  • Working with other departments within the firm to enhance monitoring and supervisory policies and procedures and liaising with IT staff to enhance the surveillance tools to strengthen compliance control.
  • Assisting in the KYC process for medium and high risk clients
  • Completing ad hoc Compliance tasks and projects as required

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