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May

Head Of Compliance

BGC Partners - Sydney, NSW

Banking & Finance
Source: uWorkin

JOB DESCRIPTION

BGC Partners 

Headquartered in London and New York, BGC Partners (NASDAQ: BGCP) is a leading global brokerage firm providing integrated voice and electronic services to wholesale market participates. We offer a full range of brokerage services across fixed income, rates, foreign exchange, equity derivatives, credit derivatives, futures and structured product markets.


JOB SUMMARY

We are seeking a Head of Compliance to work in a highly commercial role supporting senior management in dealing with a wide range of regulatory matters. The successful candidate will be the sole compliance professional for the Sydney office.


In addition to providing practical and commercial regulatory advice, this officer will be the main interface with local regulators, and will be expected to ensure the delivery of high quality compliance services including monitoring, advisory, training, financial crime and client due diligence.


In an advisory capacity, the Head of Compliance will be expected to guide and support the businesses in their daily operations and in their development initiatives including product development, new offices, new products, customer transactions, and a range of cross-border and domestic issues.


The successful candidate will interact extensively with senior management and the front office as well as the full range of support/control functions within the firm including legal, human resources, finance, risk, audit, HR, operations and tax.


Responsibilities

  • To ensure that the entities in Sydney operate in compliance with relevant legislations/regulations, by giving advice on compliance implications of business decisions, both for on-going issues and in project decisions;
  • To develop and promote the reputation and standing of the compliance function;
  • To help develop a proactive, integrated compliance approach interacting with staff of all levels of seniority in the Asia Pacific region to promote the desired culture and behaviours;
  • To help develop a compliance risk assessment process covering the main activities relevant to managing compliance risk by developing and implementing a robust compliance monitoring/desk review programme;
  • To support country and regional management through the provisions of training and identification, evaluation and resolution of compliance risk as well as implementation of new policies.


Requirements

  • The candidate may be currently in-house with a financial service firm or in private practice. He or she will be based in Sydney.
  • 15 years or more of previous experience in legal or compliance within a financial services organisation;
  • able to build strong working relationships with senior members of staff throughout the region;
  • Able to lead and motivate others;
  • Able to articulate complex matters in a clear and concise way;
  • Knowledge of and experience in dealing with regulatory bodies and Exchanges, including ASX;
  • Some knowledge of bonds and custodian services, energy products (including futures contracts) and OTC products (such as FX forwards and swaps products).
  • Ability to achieve results and drive business initiatives;
  • Strong organisational and project management skills.
  • Confident, organised and possess good interpersonal skills.


All data collected will be treated strictly confidential and used for recruitment purpose only. We regret that only shortlisted candidates will be contacted.