АвстралияCompliance Operations Officer
1 мес. назад
АвстралияHybrid
Drive regulated expansion in Australia by embedding risk-based controls and ensuring compliance with AFSL, ASIC and AML/CTF regulations for OTC-derivatives.
О компании
- 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. Driving .com ’s regulated expansion in Australia, you will embed practical, risk-based controls that keep our fast-moving business fully aligned with AFSL, ASIC and AML/CTF expectations. Acting as the operational bridge between front-line teams and regulators, you will ensure that compliance is not a hurdle but a competitive advantage for our OTC-derivatives offering.
Обязанности
- Regulatory Advisory & Support: Serve as a point of contact for policy, procedure and technical queries from operational teams. Onboarding Oversight: Review 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: Assist the Head of Compliance with preparing and respond to ASIC, AUSTRAC and external-audit requests, ensuring timely and accurate submissions. Controls Testing & Risk Assessment: Assist with internal audits, control testing and risk assessments, highlighting gaps and driving remediation. Compliance Registers Management: Maintain 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 .com Board
Требования
- Industry Experience : 2-4 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 : Bachelor’s 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 .com ’s culture of innovation.