Australia Markets Compliance Specialist

CLSA; Australia; On-site; AUD 90,000 - 130,000; Full time

Job summary

CITICS CLSA is seeking a Compliance Officer to support the management of the compliance framework for its Australian businesses. The role spans advisory compliance, surveillance, and control room functions within investment banking, equities, and research activities in Australia.

We invite candidates with two to three years of relevant experience to join a dynamic team and grow as a compliance professional.

Qualifications

• Bachelor's degree in Law or relevant disciplines.
• 1–2 years of compliance experience in financial markets, investment banking, or financial crime compliance.
• Strong understanding of Australian financial services laws, ASIC Market Integrity Rules, ASX and Cboe operating rules, and AML/CTF Act.

Responsibilities

• Assist in developing and maintaining the compliance framework for Australian licensed entities.
• Provide timely compliance advice across equities, IB, ECM, Research, Wealth Management, and related groups.
• Monitor regulatory changes and advise stakeholders on impact and required policy changes.

Skills

Regulatory knowledge

Analytical skills

Attention to detail

Communication skills

Problem solving

Independent/autonomous

Relationship building

Trading floor experience

Education

Bachelor's degree in Law or relevant disciplines

Tools

SMARTS Broker

Job description

CITICS CLSA is seeking a Compliance Officer to support the management of the compliance framework for its Australian businesses. The role spans advisory compliance, surveillance, and control room functions within investment banking, equities, and research activities in Australia.

We invite candidates with two to three years of relevant experience to join a dynamic team and grow as a compliance professional.