Compliance Adviser

  • Location

    Sydney CBD, New South Wales

  • Sector:

    Banking & Financial Services

  • Job type:


  • Salary:

    inc. super

  • Contact:

    Toby Tank

  • Contact email:

  • Job ref:


  • Published:

    7 months ago

  • Duration:

    12 Months

  • Expiry date:


  • Startdate:


  • Consultant:


The Highlights

  • Niche role in capital markets, with a focus on market supervision
  • Ideal move for a compliance professional looking to specialise, or a lawyer looking for better work/life balance
  • Long-term contract opportunity - add lasting value

The Role

A chance for a financial markets specialist to join a sophisticated, globally recognised business. The firm is forward-thinking in its approach to compliance methodology and technology, and promotes flexible working. You'll oversee compliance with listing obligations on your own portfolio of listed entities in a particular sector. Your role will include:

  • Monitoring and controlling trades based on compliance status
  • Investigating allegations of non-compliance
  • Identifying and dealing with, whether escalating or resolving, reported breaches of listing rules
  • Conducting periodic compliance reviews and advising on remediation
  • ASIC breach reporting, as well as ongoing communication on shared regulatory concerns
  • Various projects and collaborations with tangent departments

You'll also be given the tools to develop financial modelling skills, capital markets expertise, and the ability to analyse complex financial reports.

The Ideal Candidate

Our client is interested in candidates who can demonstrate:

  • Experience as a compliance specialist or lawyer, and an interest in capital markets
  • Excellent research and presentation skills
  • 2-3 years in a similar role, or in the legal sector
  • A relevant tertiary degree like law, commerce, or finance
  • Strong communication skills, and a natural ability to negotiate, question and influence
  • The ability to present to diverse stakeholder groups

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.