Join our team in Sydney or Melbourne as a Compliance Manager.
Due to the nature of the role, relevant compliance experience in the FX/CFD industry is a must.
Company Description
Vantage is a global multi-asset brokerage firm based in Sydney, licensed by the Australian Securities and Investments Commission (ASIC). Our commitment is to provide a robust trading environment, complemented by a fast and user-friendly trading platform, enabling our clients to capitalize on trading opportunities efficiently.
Key Responsibilities
* Conduct compliance monitoring review.
* Completing compliance checks and preparing compliance report.
* Ensure compliance with ASIC regulations, Corporations Act 2001, Anti-Money Laundering (AML) laws, and other relevant financial regulations.
* Develop, review, and update compliance policies and procedures to reflect regulatory change.
* Conduct internal audits and compliance reviews to assess adherence to regulatory requirements.
* Assist in preparing reports and filings required by ASIC and other regulatory bodies.
* Identify, assess, and mitigate compliance risks within the organization.
* Implement corrective actions for any non-compliance issues and work with internal teams to improve compliance control.
* Provide compliance training to employees to ensure awareness of regulatory obligation.
* Advise management and key stakeholders on compliance risks and best practice.
* Maintain comprehensive compliance records, reports, and documentation.
* Assist in preparing compliance-related reports for senior management and regulatory authorities.
Key Qualifications & Experience
* Bachelor's degree in law, Finance, Business, or a related field.
* Experience in a compliance, risk management, or regulatory role.
* Strong knowledge of ASIC regulations, the Corporations Act 2001, AML laws, and financial services compliance.
* Experience in conducting audits, risk assessments, and policy development.
* Excellent analytical and problem-solving skills with strong attention to detail.
* Ability to interpret and apply complex regulatory requirements effective.
* Strong communication skills with the ability to liaise with internal teams and regulatory bodies.
* The ideal candidate will have experience, either prior or current, in the FX/CFD industry.
Next Steps
Upon receiving your application, our team will carefully review it. If your skills and experience align with the role, we will reach out to arrange a conversation and guide you through the recruitment process.
Please note: Only Australian citizens, permanent residents, or individuals with full working rights in Australia will be considered.
A Note to Recruitment Agencies
We kindly request no unsolicited approaches, as we are not engaging external recruitment support at this time.
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