Job Title: Compliance Director
A senior compliance professional is sought to provide expertise and leadership on all corporate finance and investment banking transactions, ensuring the firm operates within required Australian and global regulatory obligations.
The role involves:
* Corporate advisory mandate and transaction approval;
* Providing support to staff in understanding and managing compliance with relevant laws, regulations, and associated guidance, as well as policy requirements across conflicts of interest and market participation risk types;
* Recording, reviewing, preventing, and escalating material conflicts, issues, incidents, breaches, and suspicious activity relating to the Corporate Advisory business;
* Advising on employee conflicts of interest disclosures and related approvals and expectations;
* Implementing and delivering processes and procedures designed to mitigate conflicts of interest and related reputational risk exposure;
* Delivering compliance induction and training across the investment banking business.
Suitable candidates will bring:
* 10+ years of experience within an investment banking environment;
* Deep knowledge of Australian regulatory obligations pertaining to investment banking transactions;
* Compliance, legal, or risk management experience within an investment banking context;
* Confident communication and presentation skills, and the ability to deliver sound regulatory advice across a broad range of business counterparts;
* Candidates must possess full Australian employment rights.