- Sydney, New South Wales, Australia
- On-site
- Full-time · Associate
- 1–2 years
Compliance role focused on managing regulatory frameworks for investment banking, equities, and research businesses in Australia.
Responsibilities
- Assist in the development and maintenance of the compliance framework to ensure that Australian licensed entities comply with all applicable regulatory requirements.
- Provide timely, reliable compliance advice to the Equities, IB, ECM, Research, Wealth Management, Equity Derivatives Group and other businesses.
- Track regulatory changes/new regulations and advise all relevant CITICS CLSA stakeholders on the impact.
- Maintain and update Policies and Procedures.
- Provide training on relevant regulatory topics impact the Australia business.
Requirements
- Bachelors degree or above in Law or relevant disciplines