About the job
As the Vice President of APAC Control Room and Private-side Advisory, you will play a crucial role in ensuring compliance for Capital Markets businesses in Australia. Your expertise will help maintain adherence to regulations while fostering collaboration across teams. The environment is dynamic and supportive, encouraging growth and innovation.
You'll be responsible for
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Performing control room functions
Acting as a conduit between Investment Banking, Research, and other Capital Markets businesses to manage conflicts and handle inside information issues.🤝
Collaborating with employees
Pro-actively collaborating with employees of Research and Global Investment Banking on regulatory matters.📊
Monitoring compliance
Undertaking monitoring, including Control Room and email monitoring, and developing the monitoring program.Key criteria
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University degree in Law
Possession of a relevant degree to ensure legal compliance expertise.View
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5+ years compliance experience
Demonstrated experience in compliance within financial markets.View
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Knowledge of regulatory frameworks
Understanding of ASIC, ASX, and Cboe rules for compliance.View
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