Become a Compliance Adviser

  • Location

    Sydney, New South Wales

  • Sector:

    Banking & Financial Services

  • Job type:


  • Salary:

    inc. super

  • Contact:

    Toby Tank

  • Contact email:

  • Job ref:


  • Published:

    8 months ago

  • Expiry date:


  • Startdate:


The Role

A chance for a geologist or geoscientist specialist to join a sophisticated, globally recognised financial institution. The firm is forward-thinking in its approach to compliance methodology and technology, and promotes flexible working. You'll oversee compliance with specific obligations on your own portfolio of listed entities in the mining and resources sector. Your role will include:

  • Monitoring and controlling trades based on compliance status
  • Investigating allegations of non-compliance
  • Liaising with geologists on compliance with regulations affecting the finance and resources sectors
  • Identifying and dealing with, whether escalating or resolving, reported breaches of listing rules
  • Conducting periodic compliance reviews and advising on remediation
  • ASIC breach reporting, as well as ongoing communication on shared regulatory concerns
  • Various projects and collaborations with tangent departments

You'll also be given the tools to develop financial modelling skills, capital markets expertise, and the ability to analyse complex financial reports.

The Ideal Candidate

Our client is interested in candidates who can demonstrate:

  • Capital markets compliance specialist and an interest in specialising in mining and resources
  • 2-5 years in a similar role
  • A relevant tertiary degree like law, commerce, or finance (geology or engineering would be highly regarded)
  • Strong communication skills, and a natural ability to negotiate, question and influence
  • The ability to present to diverse stakeholder groups
  • A firm grasp of the JORC code

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.