Compliance Officer - Australia, Compliance
On-siteSydney, New South Wales, Australia
Job Summary
Develop and maintain the compliance framework for Australian licensed entities, ensuring adherence to regulatory requirements across investment banking, equities, and research businesses. Provide timely compliance advice to business groups, track regulatory changes, and update policies and procedures. Monitor staff dealing activity, oversee the trade surveillance program SMARTS Broker, and conduct targeted thematic compliance reviews. Act as the primary point of contact for regulators including ASIC, ASX, and Cboe, and oversee the AML Program. Assist with regulatory inspections, attend industry committee meetings, and provide training on relevant regulatory topics.
Required Qualifications
- Bachelors degree or above in Law or relevant disciplines
- Minimum one to two years relevant compliance experience in financial markets, investment banking, research compliance or financial crime compliance
- Sound understanding of Australian financial services laws, ASIC Market Integrity Rules, ASX and Cboe Operating Rules and the AML/CTF Act
- Possess curiosity, initiative, independence, autonomy and a logical and methodical approach to problem solving
- excellent record keeping skills
- Be able to foster a constructive and effective working relationship with all CLSA stakeholders
- Be a team player but also have the ability to work autonomously and show initiative
- Be comfortable working in a trading floor environment
- Be able to foster excellent relationships with the business and regulators
- Be a quick learner who shows initiative with good, sound judgment
- Have a keen interest in financial markets
- Have excellent verbal/written communication skills and interpersonal communication skills
- Be able to demonstrate strong investigative and analytical skills
- Be able to multi-task and prioritise workload
- Have excellent attention to detail
- Excellent command of both spoken and written English
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