Compliance Officer Sydney Finance

About the roleTiger Brokers Australia is seeking an experienced Compliance Officer / Analyst to take ownership of defined compliance activities as the Australian business grows and its products, services and operational activities evolve. The role will apply independent judgement within delegated authority to assess compliance risks, lead monitoring and follow-up activities, drive implementation of regulatory requirements and recommend practical improvements to the business's compliance framework.Working closely with the Compliance Manager and business stakeholders, the role will be expected to proactively identify emerging risks, coordinate cross-functional actions and deliver clear, evidence-based recommendations. The role will own assigned workstreams from planning through to documentation, escalation and closure, while material or reserved decisions remain with the Compliance Manager.

Key responsibilities：

• 1. Partner with business stakeholders to assess proposed or changing products, services, customer journeys and operating processes; identify compliance implications early, recommend proportionate controls and coordinate follow-up on agreed requirements.
• 2. Assess compliance issues, monitoring results, incidents and regulatory developments; identify risk trends and control gaps, formulate practical mitigation recommendations and prepare concise, evidence-based reporting for the Compliance Manager and relevant stakeholders.
• 3. Plan and lead assigned risk-based monitoring reviews and thematic checks, including defining scope, coordinating evidence collection, evaluating control effectiveness, documenting findings and driving agreed remediation actions through to completion.
• 4. Monitor relevant Australian regulatory developments, assess their potential impact on the business and lead the tracking and coordination of implementation actions, including updates to procedures, controls, guidance and supporting evidence.
• 5. Evaluate the design and operation of relevant compliance processes and controls; identify weaknesses, propose enhancements and drive agreed improvements to strengthen consistency, effectiveness and auditability.
• 6. Own the review or coordination of marketing materials, client communications and website content against applicable requirements; assess escalated complaints and customer issues, identify recurring themes or potential systemic concerns, and recommend appropriate action.

Maintain oversight of assigned audit findings, compliance issues, incidents and action plans; challenge incomplete or overdue actions, assess residual risk and accelerate material issues promptly with clear recommendations.Identify training needs arising from regulatory changes, monitoring results and business developments; develop and deliver targeted compliance guidance and work with stakeholders to embed requirements into day-to-day practices.Own the accuracy and completeness of assigned compliance registers, records and supporting evidence; prepare periodic management information on key risks, monitoring outcomes, remediation status and emerging themes.

Qualifications

• - Typically 3+ years' experience in compliance, risk, audit, legal or a related role in financial services, with demonstrated ownership of compliance activities or projects.
• - Sound working knowledge of Australian financial services regulation and demonstrated ability to interpret regulatory requirements, assess business impacts and translate them into practical controls or actions.
• - Strong analytical, judgement and written communication skills, including the ability to assess control effectiveness, formulate recommendations and produce clear, defensible documentation.
• - Demonstrated ability to take ownership of workstreams, influence cross-functional stakeholders, manage competing priorities and drive issues through to resolution.
• - Experience in securities, OTC derivatives or CFDs is highly regarded.
• - Practical familiarity with ASIC requirements, AFCA processes and relevant AUSTRAC obligations is highly regarded.
• - Degree in Law, Commerce, Finance, Business or a related discipline is desirable.
• - RG146 qualification, or willingness and ability to obtain it where relevant to the role, is advantageous.
• - Mandarin language skills are required for communication with relevant internal stakeholders.
• - Australian work rights that permit you to perform the role.

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