Compliance Manager – Stockbroking/CFDs
Join to apply for the Compliance Manager - Stockbroking/CFDs role at PX Resources.
We are currently working with a leading financial services organisation within the CFD, FX and Stockbroking industry looking to grow their compliance team. You will be part of a lean team getting exposure to broad compliance activities.
Responsibilities
Delivering compliance monitoring and reporting insights to senior management
Ensuring compliance with ASIC and relevant regulations including conducting compliance reviews
Overseeing the effectiveness of AML/CTF program in line with AUSTRAC standards
Maintaining and uplifting compliance frameworks, policies and procedures
Managing internal and external dispute process
Reviewing marketing and sales materials for regulatory compliance
Assisting regulatory inspections and audits
Drafting and facilitating compliance training across the business
Qualifications
Circa 3-5 years compliance experience within financial services
Background in stockbroking, CFDs, FX, equities, derivatives ideal
Strong communication skills and confidence dealing with stakeholders and regulators
Proactive, hands-on approach and comfortable working in a lean team
Relevant tertiary qualifications
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Legal (Business Consulting and Services)
If you would like to learn more, please send your CV through to Jerin Chowdhury at PX Resources () or apply directly via the APPLY button.
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