Legal and Compliance Manager - Leading Stockbroker

Succession Recruitment Pty Ltd

Have you Compliance experience with exposure to Stockbroking, Wealth Management & Funds Management? Leading Stockbroker! Apply Now.

Why is this job for me?
  • Hugely successful Stockbroker
  • Work for a company with a great culture, where you will feel supported
  • All clients are High Net Worth
What makes this a great company to work for?
Succession Recruitment is Sydney's top financial services specialist recruitment agency. Our client is a local Stockbroker who has developed a reputation second-to-none within a niche area committed to servicing their customers to the highest possible standard. They have become a well-respected industry player and currently have a vacancy for an experienced Legal and Compliance Manager. 
Be part of a company experiencing massive growth here in the Sydney market, this role will grow and develop with you.

What will my day to day look like?
You will develop and drive the compliance strategy across the business in a consistent manner and will be responsible for the management, execution and monitoring of risk framework, operational issues, and control breakdowns. Additionally, you will track and report on non-compliance items to ensure remediation plans are in place and communicated appropriately.
You will also be responsible for:  
  • Acting as the contact point with ASIC - Dealing with, responding to, and managing correspondence and statutory notices from them
  • Collation, analysis and reporting of a variety risk information
  • Providing a full compliance advisory service to the different business units
  • Identifying and implementing ways of improving existing processes and policy development
  • Identifying control weakness and implement measures to address these
  • Incidents, Errors and Breach management (market participant and AFSL licensee breaches)
  • Assisting with AML & CTF compliance oversight and implementation
  • Providing constructive feedback to stakeholders in a professional manner
  • Developing and delivering training for team  
What skills and experience do I need?
You are an experienced compliance professional with a proven track-record in, and understanding of, Risk Management and the regulatory and compliance environment in Financial Services and Stockbroking. You possess strong communication and interpersonal skills; you are resilient and have sound judgement as well as having commercial acumen and self-motivation. You are also a strategic thinker who is both adaptable & flexible.
You have:
  • A Minimum of 5+ years’ experience working in a legal/compliance capacity for a Australian Financial Services Licensee/stockbroker.
  • Wholesale & Institutional Broking, Wealth Management & Funds Management experience
  • A Comprehensive understanding of regulatory framework governing financial services licensees and market participants
  • Relevant tertiary qualifications in preferably Law, also consider Audit, Finance or Commerce
  • Broking/Securities experience.
  • A high level of energy and commitment to the team.
  • The proven ability in the construction of strong and robust compliance framework
  • Excellent analytical, written and verbal communication and presentation skills
  • Excellent organizing and time management skills  
Sounds great! How do I apply?

This is a rare opportunity to work and develop as part of a dynamic and ambitious team with a leading stockbroker and won't last long!
If you have the skills and experience as detailed above, please simply upload your resume NOW or call John Hill from Succession Recruitment on 9230 0665.