Trainee Compliance Officer - Sydney

This fast growing financial markets organisation is looking for someone to join their Legal & Compliance team. Ideally you will possess a good knowledge of equities, options, managed funds & futures. Experience in financial markets in an administrative or operational role would be well regarded. This role will be responsible for:

- Performance of daily compliance monitoring tasks to satisfy compliance with the legal requirements
- Reconciling equities staff trading orders to ensure trades are executed in accordance with the procedures
- Reconciliation of Equity sales transactions with stock borrowings
- Review of unbooked trades & trades held in suspense
- Following up on outstanding error reports
- Updating the information on various registers and reports required to be maintained
- Preparation of various reporting packs
- Liaising with the branch mangers, advisors and operational staff

An understanding of the legal requirements relating to ASX, SFE and ASIC is advantageous as would be knowledge of IRESS, SHARES (GBST); Microsoft Office; Palion DCA; GMI (Futures System).

You will also possess:

- Exceptional documentation skills
- Ability to meet deadlines and completes task in a timely manner
- Perform under pressure
- Ability to work autonomously
- Attention to detail
- Investigative and analytical mind
- Persistent and challenging attitude

If you would like to apply for this position, simply fill out your details here, enter your name in our reply box, attach a copy of your CV and click on the button to submit.

Alternatively, please apply for this position using the details below.
To apply online, please submit your CV to the address below. Alternatively, for a confidential discussion, please contact Darren McConnell on 02 9270 1777.

Email your CV by clicking on the following link: bqqmjdbujpoAgqsfdsvju/dpn/bv
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