Compliance & Regulatory Specialist

Coverage Area
Compliance/Legal
Location
Sydney
Institution Type
Broker/Dealer
Position
Compliance Officer

Working in collaboration with the Head of Corporate to execute the Compliance function and have primary responsibility for identifying Australian and global regulatory and political change agendas that will directly or indirectly impact our client and their participants. Assist in executing the compliance function including maintaining the compliance manual, running various compliance related routine reports and preparing annual compliance reports to regulators and external stakeholders • Liaise and maintain a good relationship with regulators • Assist in facilitating any changes to documents including licences and exemptions, Operating Rules and T&Cs of access to the markets • Assist with market surveillance compliance escalation • Understand key existing legislation and regulations, both domestically and overseas, impacting the client’s market and their participants • Identify and understand existing and proposed legislation and regulations and form a view as to the potential impact to Yieldbroker and our participants • Liaise with external customers to understand their regulatory obligations • Communicate to, and work with, internal stakeholders on current and future regulatory change • Liaise with regulators and government officials to understand their regulatory change agenda and ensure the clients view and position is clearly understood and communicated