Equities Compliance - Market Maker
Job Description:
Our client, a prominent market maker with a strong presence in Sydney, is seeking a highly skilled Deputy Head of Compliance to join their dynamic team. The ideal candidate will possess extensive experience in Equities Compliance, particularly within electronic trading environments.
Key Responsibilities:
- Oversee and manage compliance functions related to equities and electronic trading.
- Develop and implement compliance policies and procedures to ensure adherence to regulatory requirements.
- Conduct regular audits and risk assessments to identify and mitigate compliance risks.
- Collaborate with internal and external stakeholders to address compliance issues and provide guidance on regulatory matters.
- Monitor and analyze market trends and regulatory changes to ensure the company's compliance framework remains robust and up-to-date.
- Lead and mentor the compliance team, fostering a culture of integrity and accountability.
Qualifications:
- Proven experience in Equities Compliance within an investment bank or market maker.
- Strong knowledge of electronic trading platforms and associated compliance requirements.
- Excellent understanding of regulatory frameworks and industry standards.
- Demonstrated ability to manage complex compliance issues and provide strategic solutions.
- Exceptional communication and interpersonal skills.
- Leadership experience with a track record of building and managing high-performing teams.
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