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Primary Location: Australia,New South Wales,Sydney
Education: Bachelor's Degree
Job Function: Compliance and Control
Shift: Day Job
Employee Status: Regular
Travel Time: No
Job ID: 17079143
Citi's Institutional Clients Group provides a comprehensive range of investment and banking services to corporates, governments and institutional investors in more than 100 countries around the world. We are a leading underwriter of equity and debt. We rank in the top tier of providers of mergers and acquisitions advice and securities trading services. Our extensive commercial banking operations include cash management, custodial, foreign exchange, trade and treasury services
Our geographic reach and financial expertise makes us one of the most sought after sources for analysis of local and international economies and financial markets. A broad range of financial products and services, combined with our geographic reach and one of the world's largest bank balance sheets, makes us the financial organization of choice for corporations, institutions and governments
An opportunity has arisen for a Markets Compliance Officer - Equities in our Institutional Clients Group (ICG) Market Compliance team. The purpose of the role is to assist managing the Compliance Risks primarily associated with Equities business by:
Providing compliance and regulatory advice and services primarily to the ICG Markets business, primarily to the Institutional Equities business
Liaising closely with Equities Desk Heads and Business Unit Management in those departments in establishing priorities and carrying out tasks
Maintaining strong relationships with key business stakeholders and regulators (ASIC, ASX and Chi-X) and internal Legal, Control and Support functions
To be successful in this position you must have the following skills and experience:
Bachelor of Economics, Finance or Laws
At least 5 years' experience in a compliance/regulatory role. Experience in an Equities compliance role is essential
In depth knowledge of Corporations Act, ASIC Market Integrity Rules, ASX and ASX 24 Operating Rules, Chi-X Operating rules and other financial markets legislation
Knowledge of financial markets transactions (primarily Equities)
Knowledge of financial services regulatory environment
Knowledge of Institutional Equity Markets and Fixed Income Markets
Compliance issues surrounding Equity Research
Ability to work independently, initiate actions and complete tasks with limited direction
Ability to work effectively as a team member managing projects
Ability to assist junior members of the compliance team
Demonstrated analytical and issues management skills
Ability to execute multiple project and tasks at the same time
Demonstrated negotiating and persuasive abilities
Strong planning and organization skills
Stakeholder management skills including demonstrated ability to deal with senior management
When you work at Citi, you'll be working for an organization that truly has a global footprint and a powerful network that spans the globe. We celebrate individual ingenuity and leverage the diversity of our people in order to drive high performance. Through dedicated support, training and resources, we promote our talent and future leaders to bring about lasting and positive impact. Citi continues to be an Employer of Choice for Women and supports a flexible work environment.