About This Role
The Organisation & The Role:
* Our client is an established and trusted brand who has been providing cutting-edge trading solutions to clients worldwide for over a decade.
* This newly created role presents a unique opportunity for an experienced compliance manager to advance their career.
You will be accountable for executing and refining the firm's Australia compliance framework and program, reporting directly to company directors and leading a small team.
Your Main Responsibilities:
* Manage regulatory applications, maintain current licenses and relations with regulatory bodies, serving as the primary contact for all authorities.
* Develop and oversee compliance monitoring plans, AML/CTF programs, KYC/client onboarding, trade surveillance, and derivative transaction reporting frameworks.
* Maintain awareness of and ensure compliance with Australian regulatory frameworks, securities laws, and regulations including APAC and EU laws.
* Continuously review and update existing compliance manuals, policies, procedures, and training programs to reflect latest regulatory changes.
* Proactively identify process gaps and improvement procedures, formulate remediation action plans.
* Oversee the remediation of self-disclosed non-compliance issues, timely resolution of audit findings, and identified compliance gaps.
* Develop and deliver senior management and Compliance Committee reporting on regulatory changes, key controls testing, and incidents management.
* Lead and coach a team of compliance managers and analysts.
* Coordinate with offshore resources when required.
Requirements
* A minimum of 5 years' experience in the AML and/or Regulatory Compliance function, preferably within the FX, CFD, or OTC Derivatives trading/broking industry.
* Tertiary degree in Law, Finance, Business Administration, Accounting, or related qualifications.
* Good knowledge of Corporations Act, ASIC, AFCA, AUSTRAC, and other local regulatory requirements.
* Demonstrable knowledge of regulatory obligations for an ASIC regulated financial institution.
* Previous experience leading and coaching a small team is ideal.
Contact Eugena Gong at 02 8227 9200 or apply via the Apply for this job button. Please submit your up-to-date CV in Word format only.