2022 Compliance Analyst null

About Jarden
Jarden is a leading investment and advisory group, offering a range of investment products and services to clients operating in wholesale and retail markets in Australia, New Zealand and around the world.

In Australia, our team members have been at the forefront of investment banking and financial markets for decades, leading some of the country’s largest and most complex transactions.

We are proud of our talent and dedicated to helping our clients reach their goals across sophisticated local and international markets. Whether you’re an institutional, corporate, or private investor, Jarden’s dynamic, responsive and flexible approach makes us a trusted partner in your potential.

The Role
This is a junior role with duties of both Control Room and Line of Business Advisory. As a Compliance Analyst - Control Room /Investment Banking Compliance Officer, you will be part of the growing Legal & Compliance team of Jarden Australia, reporting directly to the Head of Legal & Compliance and General Counsel. You will be responsible for maintaining the Control Room function and safeguarding the firm’s Information Barrier.

Key responsibilities include:

• Interact with the Investment Banking Department, Equities Department, and Research Department to maintain the firm’s Watch List, Restricted List and other control lists.
• Liaise with the firm’s other regional Control Room and the Head of Legal and Compliance and General Counsel to implement controls and restrictions on trading, research publication and employees’ personal account dealing.
• Review research publications and provide clearance.
• Negative news and ESG checks.
• Assist with Conflicts clearance.
• Guard the firm’s Information Barrier; Facilitate and supervise interactions between Research and Investment Banking Departments.
• Oversee Investment Banking deal activities and ensure the internal control/approval process is followed.

About You
Ideally, you have previous experience in a similar role, which you gained within a banking or financial services institution with an understanding of the current regulatory environment. You are a self-starter who is able to multi-task and perform well in a fast-paced environment.

In addition, you have

A general understanding of Investment Banking activities and various deal lifecycles. This would be highly regarded

A general understanding of the current regulatory environment, as well as financial markets and securities regulations and rules.

In return, we can offer you a great company and team culture within our fast-growing firm, and exciting long-term career prospects.