Compliance Advisor
Purpose of the role The Compliance team plays an integral role in supporting QTC’s strategic objectives and overseeing... more info
Control Room Compliance Advisor
Salary:
80.00 - 100.00
Posted:
13-03-2025
Category:
Management Strategy
Sydney,
Job Description
You will be joining an established investment company as a Control Room Compliance Advisor within a dynamic and growing team with a strong focus on development and progression. About the Company A leading domestic investment bank with a strong company focus on development, support, and flexibility. About the role: Responsibilities include: Supporting staff in managing conflicts of interest, regulatory compliance, and corporate advisory/research processes. Implementing processes to prevent and escalate conflicts, incidents, and breaches. Working with various teams (e.g., Sales and Trading Compliance, AFC) to manage conflicts, information barriers, and confidential information. Assisting with internal investigations and responding to regulatory notices. Helping design and maintain conflict management policies, procedures, and systems. Evaluating new products for conflicts and ensuring the company’s processes stay up-to-date with industry changes. About you: You have: 2-5 years experience in control room/surveillance or similar experience, ideally within an Investment Banking or similar environment. Relevant degree and certifications. Proven problem-solving and analytical skills. Experience with implementing systems and workflows that support risk management. Aboriginal and Torres Strait Islander Peoples are encouraged to apply. To apply please click apply or call Davy Culliton on 02 8289 3172 for a confidential discussion. About the job Contract Type: FULL_TIME Workplace Type: Hybrid Experience Level: Associate Location: Sydney Specialism: Banking & Financial Services Focus: Risk - Credit / Mkt/ Operational Industry: Financial Services Salary: Negotiable Job Reference: 2041100/001 Date posted: 28 February 2025 Consultant: Davy Culliton Come join our global team of creative thinkers, problem solvers, and game changers. We offer accelerated career progression, a dynamic culture, and expert training. #J-18808-Ljbffr
Job Details
Salary: 80.00 - 100.00
Posted: 13-03-2025
Category: Management Strategy
Sydney,
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