Senior Analyst | Sydney
|Position Type:||Ongoing - Permanent|
|Attachments:|| PD EL2 Senior Analyst - OTC Compliance Aug 18.pdf (PDF, 91KB)
- Supervise the conduct of OTC intermediaries and issuers through the assessment and analysis of suspected misconduct
- Full-time ongoing position based in Sydney CBD, offering from $118,513 to $137,829 per annum plus 15.4% superannuation
ASIC is Australia's corporate, markets and financial services regulator. At ASIC, there is good reason for everything we do, every law we regulate, every action we take and every interaction we have with industry and consumers. We're proud of the difference we make to Australia's economic reputation and wellbeing.
Market Conduct is a team within the Market Supervision unit under the Market Integrity Group (MIG). MIG seeks to ensure trust and confidence in Australia's Financial markets by regulating infrastructure providers, market participants, and investment banks as well as trading on listed and over the counter (OTC) markets. This includes market surveillance and enforcement of the Market Integrity Rules and the Corporations Act. Market Supervision seeks to ensure fair and efficient financial markets by supervising the conduct of intermediaries in listed and OTC markets including their trading and capital raising activities.
The Market Conduct OTC Intermediary Compliance Team is responsible for supervising the conduct of OTC intermediaries and issuers through the assessment and analysis of suspected misconduct. We seek to influence our stakeholders' compliance with all relevant obligations through enhancing ASIC's surveillance and assessment capabilities in relation to misconduct and taking appropriate action in a timely manner.
As Senior Analyst based in the Market Conduct team, you will be required to:
- Take a lead role in reviewing and testing the compliance of intermediaries and issuers in the wholesale and retail OTC sectors.
- Conduct onsite inspections
- Determine and apply the most appropriate regulatory action that is required in each matter in consultation with relevant senior staff
- Conduct voluntary interviews and S19 examinations
- Disrupt undesirable market conduct and increase ASIC's presence in the market through external engagement
- Refer suitable matters to Enforcement for further investigation
The ideal candidate is enthusiastic and passionate about the regulation of financial markets. You have attained strong knowledge of securities markets, their operation and the nature of products traded on these markets. Tertiary qualifications in commerce, finance, economics or law paired with relevant work experience is essential.
You will have experience in applying compliance and risk frameworks to financial markets, market participants and financial products and their issuers. It is critical that complex concepts are communicated with ease and to influence and negotiate with various stakeholders.
We support our employees to develop professionally and succeed. ASIC offers a range of programs such as flexible work practices and development programs which include a focus on gender equity and women in leadership.
ASIC is committed to providing a diverse and inclusive workplace where the very best talent in Australia chooses to work. We encourage applicants from diverse backgrounds to apply, including Indigenous Australians and people with a disability.
To work with us, you'll be required to satisfy our pre-engagement assessment and obtain a national security clearance. Australian citizenship is also required.
Please view the attached position description for more information or click ‘apply' to submit your application.