At a Glance
- Tasks: Ensure compliance with regulations and support the team in monitoring activities.
- Company: Join a leading financial services firm focused on compliance excellence.
- Benefits: Competitive salary, career growth, and a dynamic work environment.
- Other info: Opportunity to work in a collaborative team with a focus on professional development.
- Why this job: Make a real impact in the compliance landscape of the financial industry.
- Qualifications: Bachelor's degree and 2+ years in financial services compliance required.
The predicted salary is between 74196 - 90684 $ per year.
We are seeking an experienced and proactive Senior Legal Officer to join our compliance team, who will play a key role in supporting the Compliance Team and ensuring the organization’s adherence to regulatory requirements.
This role involves monitoring compliance activities, providing expert advice on compliance matters, and assisting in the development of a robust compliance culture.
Key Responsibilities
- Conduct compliance reviews and monitoring activities to ensure adherence to internal policies and regulatory requirements.
- Handle client complaints effectively, ensuring timely and satisfactory resolution. Develop and implement dispute resolution strategies to address client concerns.
- Assist in the development and implementation of compliance frameworks, policies, and procedures.
- Ensure employees understand and comply with internal policies through education and guidance.
- Stay updated on regulatory developments and provide advice to internal stakeholders.
- Support the preparation of regulatory filings and responses to inquiries.
- Participate in compliance risk assessments and provide input on mitigation measures.
- Investigate and resolve compliance incidents, maintaining detailed records.
- Assist in organizing compliance training sessions.
- Act as a point of contact for compliance-related queries from employees.
- Any other duties assigned from time to time by the Company’s Head of Compliance.
Experience/Knowledge/Skills
- Bachelor’s degree in Law, Business, Finance, or a related field.
- 2+ years of financial Services compliance experience is required, with experience working within the Australian CFD and margin FX industry being highly desirable.
- Strong understanding of regulatory frameworks and compliance best practices.
- Excellent analytical, communication, and interpersonal skills.
- Ability to work independently and collaboratively within a team.
- Highly articulate communication skills in both English and Mandarin (preferred)
- Full eligibility to work in Australia.
- Seniority level
- Mid-Senior level
- Employment type
- Full-time
- Job function
- Legal
- #J-18808-Ljbffr
Forex Legal Officer in Sydney employer: MH Markets
MH Markets is an exceptional employer located in the vibrant Sydney CBD, offering a dynamic work culture that prioritises innovation and client-centric service. As a Risk Analyst, you will benefit from hands-on experience in real-time market risk management, mentorship from seasoned professionals, and ample opportunities for career development across various domains within the financial services sector. Join us to enhance your analytical skills while contributing to a secure and transparent trading environment.
