Equities Compliance Specialist

Job Description

Responsibilities:

• Responding to compliance queries raised by the business and other logistics functions
• Keeping abreast of Australian regulatory developments and ensure that relevant businesses are advised of these changes and any implications they may have
• Assist with development of internal policies and procedures specific to the equity business
• Supervising the daily equities activities and identify any exceptions to local regulatory requirements and internal policies
• Assist the Compliance Services team when there are regulatory examinations and participate in strategic regional Business and L&C as well as global business team initiatives
• Work closely with the training department in delivering structured training to the equity businesses

Requirements:

• Excellent understanding of fundamental compliance principles and Australian regulatory requirements
• Good understanding of the equity industry
• The ability to deal with senior management within Legal and Compliance and Equities
• Regular interaction with the regulators on a variety of issues