Compliance Operations Officer
Compliance Operations Officer
Posted on :
21-06-2025
Employer Active
1 Vacancy
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Job Description
We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best so we are always in search of the best people to join our ever-growing talented team.
Responsibilities
- Regulatory Advisory & Support: Serve as the primary point of contact for policy procedure and technical queries from operational teams.
- Onboarding Oversight: Supervise daily KYC/AML checks and verify wholesale-client categorisations to guarantee compliant client onboarding.
- Policy Governance: Maintain and continuously improve the Compliance Manual policies and procedures in line with evolving ASIC and AUSTRAC requirements.
- Regulatory Engagement: Coordinate prepare and respond to ASIC AUSTRAC and external-audit requests ensuring timely and accurate submissions.
- Controls Testing & Risk Assessment: Lead internal audits control testing and risk assessments highlighting gaps and driving remediation.
- Compliance Registers Management: Own and monitor registers for breaches complaints conflicts and incidents escalating themes to leadership.
- Board & Committee Reporting: Compile clear data-driven reports for the Compliance Committee TMD Committee and Board.
Requirements
- Industry Experience: 24 years in compliance or regulatory roles within OTC derivatives CFDs FX or broader financial markets ideally under an AFSL framework.
- Regulatory Expertise: Deep working knowledge of ASIC Regulatory Guides the AML/CTF Act and derivative-reporting obligations with the ability to interpret and apply them pragmatically.
- Operational Know-how: Hands-on familiarity with client-onboarding workflows trading systems and compliance-monitoring tools; proven experience drafting policies testing controls and producing board-level reports.
- Analytical Mindset: Detail-oriented and resilient under pressure able to investigate issues and translate data into actionable improvements without losing pace.
- Communication & Stakeholder Management: Confident communicator who can influence internal teams and engage regulators or auditors in a high-pressure trading environment.
- Education & Credentials: Bachelors degree (finance law or related) or near completion; additional compliance or AML certifications welcomed.
- Growth Mindset: Proactively identifies enhancements champions high-quality outcomes and aligns with culture of innovation.
What will you get in return
- Competitive Salary:We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated.
- Work-Life Harmony:Join a company that genuinely cares aboutyoubecause your life outside of work matters just as much as your time on the clock.
- Annual Performance Bonus:Your hard work doesnt go unnoticed! Celebrate your achievements with a well-deserved annual bonus tied to your performance.
- Generous Time Off:Need a breather Our annual leave policy lets you recharge and enjoy life outside of work without a worry.
- Employee Referral Program:Love working here Share the love! Bring your talented friends on board and get rewarded for growing our awesome team.
- Comprehensive Health & Pension Benefits:From medical insurance to pension plans weve got your back. Plus location-specific benefits andperks!
- Workation Wonderland:Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
- Volunteer Days:Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.
Be a key player at the forefront of the digital assets movement propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent initiative and creativity. Work alongside one of the most brilliant teams in the industry.
Required Experience:
Unclear Seniority
Employment Type
Full Time
Key Skills
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