36d ago

Compliance and Legal Analyst

Hays Banking

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Base pay
$90k - $110k
Work type
Contract type
How this job matches you
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Market insights based on all Banking, Superannuation & Finance jobs in Sydney NSW
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$90k - $110k
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Full job description

Your new company
A market leading broking financial services markets company in Sydney that have a global presence.

Your new role
Working in a small department reporting to the Head of Legal and Compliance:

- Periodic review and update of Policies and Procedures
- Responding to compliance queries from internal business units (i.e. Sales, onboarding and Institutional teams) - Assisting in administrative tasks, including filing and compiling compliance materials
- Assist in maintaining compliance controls and monitoring tasks
- Assist in reviewing promotional, marketing and advertising materials, including website
- Maintain compliance registers, including Breaches and incidents, Complaints, Conflicts of Interests and Training
- Keep up to date with legislative and regulatory changes in the broking industry
- Looking at contracts and updating legal agreements
- Compliance advice to the business
- 2nd level AML/CTF alerts investigation and analysis

What you'll need to succeed

  • A tertiary qualification in Law (Legally qualified preferred)
  • 2 + years’ experience in Legal and/or Compliance
  • Knowledge and understanding of the Australian equity and derivatives market (would be highly desirable but not required)

What you'll get in return
A rare permanent opportunity in a small legal and compliance department at a leading global Financial Services company in Sydney. Ensure the business operates to a high standard of legal and regulatory compliance, as well as in accordance with its policies and procedures. The role will be Compliance focussed with some legal and AML/CTF tasks and prefer a legal background and is an excellent opportunity for someone to learn and get a large amount of exposure.

What you need to do now
If you feel you fit the criteria and are interested in the role, please click ‘apply now’ or contact Philip Lewis on 02 8226 9752 or email your CV to philip.lewis@hays.com.au

LHS 297508 #2557088

Job details
Date posted
17 Sep 2021
Banking, Superannuation & Finance
Compliance, Risk & Fraud
Base pay
$90k - $110k
Work type
Job mode
Standard/Business Hours
Private Business

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