Control Room Compliance Officer – initial 3-month contract

Our client is a leading investment bank looking for a Compliance Officer to support their Control Room function on an initial 3-month contract with the look to extend/and go permanent.

This role will cover an evening shift from 1pm to 1am.

Key Responsibilities:

• Interact with the Investment Banking Department, Equities Department, and Research Department to maintain the firm’s Watch List, Restricted List and other control lists.
• Guard the firm’s Information Barrier; Facilitate and supervise interactions between Research and Investment Banking Department.
• Oversee investment banking deal activities and ensure internal control/approval process is followed.

Key Skills:

– Up to 3 years’ experience in a compliance or legal function.

– Understanding of regulatory environment, financial markets, securities and investment banking activities and deal cycles.

Please apply if you are interested in this opportunity to join a respected and growing player in the investment banking space in Australia.