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Advisor, Fixed Income & Equities Compliance

About Barrenjoey:

Barrenjoey is a proudly Australian financial services firm. We’re majority staff-owned and locally managed, with global reach through our strategic partnership with Barclays. We’re a dynamic, entrepreneurial company, aiming to deliver great ideas and results for our clients. We’re also passionate about driving positive social outcomes for communities. Barrenjoey officially launched in September 2020 with the capital and funding support of our foundation investors, Magellan and Barclays. Today, we employ over 450 people and have teams based in Sydney, Melbourne, Perth, Abu Dhabi (ADGM) and Hong Kong.

 

About Compliance: 

We work at the forefront of managing risk for a dynamic business operating in a complex and evolving regulatory environment.  As part of the Compliance function, you will help safeguard the firm’s business by balancing risk and regulatory requirements.  Our Compliance team works across all business lines and is a critical part of Barrenjoey’s risk and control framework.

 

About the Job: 

As an Advisor in our Fixed Income and Equities Compliance team, you will be at the heart of Barrenjoey’s second line of defense.  This is a hands-on role that offers genuine breadth, touching on all aspects of the Fixed Income and Equities businesses, as well as the evolving regulatory framework across multiple jurisdictions, including Australia, ADGM, Hong Kong and the US.

 

This is a broad and dynamic role offering real variety.   You will become a trusted advisor to the business and the broader firm, with visibility across Fixed Income products (AUD and NZD denominated bonds and cleared interest rate swaps), as well as Equities products (cash equities, prime brokerage and equity financing).  The role provides a unique perspective on how a multi-asset, multi-jurisdictional sales and trading business operates, with exposure to some of the most dynamic regulatory developments in financial services today.

 

Working alongside a motivated, high-performing team, you will build deep insight into the Fixed Income and Equities businesses — while maintaining sound and robust standards of integrity and compliance.

 

If you thrive in a fast-paced compliance environment and want to build or deepen your career at one of Australia’s most dynamic financial services firms, we would love to hear from you.

 

 

Responsibilities: 

• Day-to-day Compliance coverage for Fixed Income and Equities businesses, with a trading floor presence.
 
• The work is varied, intellectually demanding, and commercially relevant.  No two days look the same.  You will field a wide range of questions — from real-time sales and trading queries to regulatory interpretation, client onboarding and conflicts management matters.  The role demands the ability to switch between strategic, policy-level thinking and practical, time-sensitive operational guidance.
 
• Provide regulatory advisory support to the business
 
• Advising on compliance with applicable regulatory requirements, as well as internal policies and procedures
 
• Developing and maintaining obligation registers, compliance registers, risk assessments, and compliance reminders
 
• Conducting compliance monitoring and review programs
 
• Advising on cross-border regulatory matters
 
• Designing and delivering compliance training
 
• Involved in engagement with regulatory bodies including ASIC, ASX, FSRA and CFTC/NFA.
 
• Coordinate with broader Compliance team across surveillance, assurance and testing, financial crime, personal trading and conflicts related matters.
 
• Collaborate closely with internal stakeholders including COO, Legal, Risk, Technology and Operations.
 
 
About you:
 
• Degree in relevant discipline or demonstrated strong experience in performing responsibilities outlined above.
 
• 3-5 years’ compliance, legal or risk related experiences in financial services, with basic understanding of relevant ASIC and ASX rules (ADGM or US swap dealer experience is advantageous).
 
• Strong written and verbal communication skills.
 
• Critical thinking and analytic capability , sound judgement, risk awareness, attention to detail, and problem-solving ability.
 
• Self-motivated with strong organisational, time management, and prioritisation skills; able to work independently and adapt to changing priorities.
 
• Effective collaboration and commercially minded who thrives in a team environment and is reliable and pragmatic in approach.
 
• Proficiency in Microsoft Office (Excel, PowerPoint, Word) and familiarity with data analytics or AI tools beneficial.
 
 


Job Segment: Equity, Finance

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