Advisor - Research Compliance and Conflicts Management

Barrenjoey is a proudly majority Australian owned financial services firm, with global reach delivered through our strategic partnership with Barclays. Entrepreneurial and partnership focused, we aim to deliver great ideas and opportunities to help clients succeed. We have teams based in Sydney, Melbourne, Perth and in our initial overseas branch in Abu Dhabi’s International Financial Centre, Abu Dhabi Global Market (ADGM). Barrenjoey provides services across the following key businesses: 

• Corporate Advisory (Advisory, ECM and DCM)
  
• Equities (Cash Equities, Prime Brokerage and Equity Financing)
  
• Research 
  
• Fixed Income (Cash and cleared derivatives); and
  
• Private Capital

Barrenjoey Compliance team works across all business and is a critical part of Barrenjoey’s risk and control organisation.

About the Job

As an Advisor in our Compliance team, you'll work with Compliance colleagues who provide independent oversight to Barrenjoey's Corporate Finance and Research businesses.

This is an exciting opportunity that touches on all aspects of the business and provides excellent insight into how the business operates. The role offers the unique advantage of gaining visibility across the entire transaction lifecycle - from initial client engagement through to deal execution - which provides valuable perspective into the business dynamics and interconnectedness across our operations. You will be part of a motivated and highly driven Compliance team committed to maintaining the highest standards of integrity and risk management.

You will assist in regularly assessing and reviewing the adequacy and effectiveness of the Company Group's conflicts of interest management arrangements, including first line of defence controls. Your responsibilities will include:

• Supporting the design, implementation and maintenance of an adequate and effective information barrier and conflicts of interest management framework to support the integrity of the Group
• Managing, recording, monitoring and reviewing Corporate Advisory and Research activity within the ambit of conflicts and reputational risk management, including deal logging, research clearance, trading restrictions and all associated workflows
• Actively overseeing, monitoring and reviewing the Company's information barriers and the passage of confidential information across information barriers
• Undertaking proactive and reactive management and escalation of all material conflicts of interest and Corporate Advisory and Research business related matters
• Liaising with the Surveillance team in relation to the identification, prevention and reporting of issues relating to the Group's conflicts management arrangements
• Supporting staff members in understanding and managing compliance with relevant laws, regulations and the Group's policy requirements, including the recording, review, prevention and escalation of material conflicts, issues, incidents and breaches
• Being involved in regulatory matters insofar as the activities of the Corporate Advisory and Research businesses are concerned, including collecting, collating and preparing regulatory material to respond to regulatory enquiries

About You