Junior Capital Markets Risk and Compliance ManagerYou will be joining a global investment bank as a Junior Capital Markets Risk and Compliance Manager within a dynamic and high-performing team.
About the Company The company is a leading global investment bank and stock-broker with a dynamic and high-performing work environment.
About the Role Responsibilities include:
Manage the proprietary risk system utilized for identifying and handling conflicts of interest (COI) within the organization. This includes implementing system improvements and functionalities.Oversee requests and approvals for wall crossings.Maintain and monitor the company's grey and restricted lists, including surveillance activities.Handle conflict and background checks, conducting necessary due diligence for potential capital markets transactions to ensure compliance with regulatory and policy requirements.Assess and manage potential conflicts of interest involving the firm, employees, or clients, maintaining comprehensive records and registers within the designated system.Develop and deliver insightful reports for senior management, aiming to enhance the firm's risk and compliance strategies.Demonstrate a keen interest in developing expertise in COI, including regulatory landscapes and industry best practices.Review ECM allocations to ensure adherence to the firm's Allocation Policy and accepted COI principles.Participate in risk-related projects and initiatives as assigned.About You You have:
Minimum 2 years' experience in legal, compliance, or a related discipline with an interest in investment banking.Interest in advancing a career in risk management, with a strong focus on financial markets and the industry relevant to the company's operations, especially within capital markets.Inquisitive mindset with a penchant for questioning data and methodologies.Exceptional attention to detail and robust analytical skills, self-motivated with a proactive attitude, adept at thriving in a dynamic environment.Proficiency in working independently.Driven to enhance processes, demonstrating the ability to assess the significance of issues and grasp the broader context.Aboriginal and Torres Strait Islander Peoples are encouraged to apply.
To apply, please click apply or call Phoebe Garrett on 02 8289 3134 for a confidential discussion.
Come join our global team of creative thinkers, problem solvers, and game changers. We offer accelerated career progression, a dynamic culture, and expert training.
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