Apply: Senior Compliance Analyst, Equities Trading

Reference: BH-163639-3
Role Summary:

We would like to speak to Banking and Financial Markets professionals who's also an Excel Guru! A new exciting role has become available at a Tier-1 bank's Enterprise Compliance team (2LoD) in their Group Control Room function, to assist with implementing the Personal Account Dealing (PAD) program, including maintaining the register of Designated Employees, periodic attestations, trading records etc. You will also be implementing the Substantial Shareholding (SSH) framework, including performing SSH monitoring and reporting to meet regulatory requirements in 40+ jurisdictions.


Your Responsibilities:
  • Maintain the functionality of Excel spreadsheets which contain employee dealings information, conflict registers etc. in preparation for the migration to the new reporting system
  • Administration and data management for the Conflicts Reporting System (CRS).
  • Perform data analysis and manipulation of dealing data subject to the new Personal Account Dealing (PAD) Policy.
  • Daily correspondence to all employee enquiries coming through the centralised inbox relating to policy, data and system related issues. 
  • Assist with developing and maintaining Conflicts of Interest frameworks, and advising on the implementation and monitoring of the effectiveness of those frameworks.
  • Manage Chinese Wall structures and processes, including those relating to material non-public information.
  • Identify and resolve issues, prepare reports and metrics relating to the roll-out of new PAD Policy.
  • Perform monitoring of compliance with conflicts policies and dealing with potential violations.
  • Participate in technology initiatives to enhance conflicts management systems and monitoring capabilities.

Skill Requirements:
  • 3-4 years of Risk & Compliance, Audit, Governance or Legal experience with an operational focus.
  • Basic knowledge of Equities and Derivatives products is highly advantageous. 
  • Proven ability to operate independently and effectively in a fast-paced environment.
  • Tertiary qualifications in a relevant discipline e.g. Finance, Business or Law.
  • Familiarity with relevant regulatory/compliance environments in Banking is an advantage - such as employee trading policy, ASX rules etc.
  • IT proficiency to participate in UAT testing for new system implementation.
  • Advanced Excel skills - can operate with Macros, Pivot Table, v-Lookup, charts, graphs etc.

For further information on this role or to confidentially apply, please contact Eugena Gong on 02 8227 9200 or apply directly via the Apply for this job button. Only WORD FORMAT CVs will be accepted.
Company Background:

Ethos BeathChapman (EBC) is a global group of executive recruitment experts in Australia, Asia and EMEA, with a broader network beyond. We connect exceptional people to exceptional companies.

EBC’s mid-sized agility and solutions-focused approach enables us to flex where traditional recruitment agencies have failed, and scale beyond the reach of boutiques. Our multidisciplinary expertise covers corporate and specialised functions across Finance, Technology, Commerce and Government recruitment markets, among others.

Established 2005 in Sydney, EBC today has six offices worldwide in Australia, Singapore, Hong Kong, Japan, Netherlands and the UK. Part of the Nikkei-listed Will Group, Inc, we own Quay Appointments and our staffing and managed solutions specialists, CONNECT.

Let’s connect, and make exceptional happen, together: www.ethosbc.com

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