VP - Investment Banking Compliance (Contract)

Australian Compliance Institute; Sydney; Hybride; AUD 250 000 - 350 000; Temps partiel

Résumé du poste

Australian Compliance Institute is seeking a senior compliance professional to join the Sydney-based Investment Banking Compliance team on an initial 6-month contract basis. The role provides senior coverage across regulatory advisory work and strategic compliance initiatives for APAC markets.

You will support front office stakeholders in investment banking activities, manage regulatory and reputational risk, and collaborate with Global Banking & Markets Private Compliance, Legal, Internal

Qualifications

• Approximately 8+ years’ experience within Compliance, Legal, Regulatory Advisory, or Financial Services environments- ideally investment banking.
• Bachelor’s degree; Legal Degree preferred.

Responsabilités

• Provide advice and compliance oversight to Global Banking & Markets personnel on transactions, new business initiatives and significant changes affecting the firm.
• Assist in responding to regulatory inquiries and investigations.
• Develop and implement policies, procedures and best practice standards for Global Banking & Markets.
• Create and implement new controls and surveillances to mitigate risks in transactions and banker activities.
• Support other compliance teams in monitoring activities and develop surveillance programs.
• Create and implement live and online compliance training programs for staff.

Connaissances

Regulatory advisory

Stakeholder management

Regulatory frameworks

Analytical thinking

Communication

Project management

Compliance experience

8+ years experience

Formation

Bachelor’s degree in Law

Description du poste

Sydney
Investment Banking
Contract or Temporary

Our client is a leading global investment bank seeking an experienced senior compliance professional to join their Sydney-based Investment Banking Compliance team on an initial 6-month contract basis.

This role will provide senior-level coverage within the team and offers exposure to complex investment banking transactions, regulatory advisory work, and strategic compliance initiatives across APAC markets.

The successful candidate will play a key role in supporting front office stakeholders across investment banking activities, while helping manage regulatory, compliance, and reputational risk within a dynamic and fast-paced environment.

The candidate will be an integral member of the Global Banking & Markets Private Compliance team. Global Banking & Markets Private offers an array of investment banking activities, including underwriting, lending and advisory services, to clients in a wide variety of industry sectors.

The team is responsible for assisting bankers with business, regulatory and compliance-related matters. In addition to working collaboratively with fellow team members and global counterparts within Compliance , the candidate will regularly interact with individuals in Global Banking & Markets , other compliance teams and other departments, including Legal, Internal Audit, Finance, Operations, Technology and the Conflicts Resolution Group.

Key Responsibilities

• Providing advice and compliance oversight to Global Banking & Markets personnel on transactions, new business initiatives and significant business changes affecting the firm, as well as compliance, regulatory and reputational issues.


• Assisting in responding to regulatory inquiries and investigations.


• Developing and implementing policies, procedures and best practice standards for Global Banking & Markets.


• Creating and implementing new controls and surveillances to mitigate risks to the firm by analyzing the transactional processes used in Global Banking & Markets , as well as the activities and actions of individual bankers.


• Assisting other compliance teams in monitoring Global Banking & Markets.e activities to help ensure adherence to applicable laws, regulations and firm policies and procedures, including developing and executing surveillance and other forensic compliance programs.


• Creating and implementing live and online compliance training programs to educate business professionals on applicable compliance requirements, legal issues and regulatory changes.

Required Experience & Skills

• Approximately 8+ years’ experience within Compliance, Legal, Regulatory Advisory, or Financial Services environments- ideally investment banking


• Relevant Bachelor’s degree- Legal Degree preferred


• Prior exposure to investment banking, capital markets, advisory, or institutional banking activities is highly regarded.


• Strong understanding of regulatory frameworks and compliance risk management principles within financial services.


• Excellent written and verbal communication skills, with the ability to effectively articulate and defend positions.


• Strong analytical, investigative, and problem-solving capabilities.


• Ability to manage competing priorities and deliver high-quality work within tight deadlines.


• Proven stakeholder management skills and the ability to work collaboratively across multiple business areas.


• Demonstrated project management and organisational skills.


• Proactive, adaptable, and capable of operating effectively in a fast-changing regulatory environment.