At a Glance
- Tasks: Ensure compliance with regulations and manage compliance incidents in a dynamic FinTech environment.
- Company: Award-winning multi-asset broker committed to integrity and operational excellence.
- Benefits: Competitive salary, professional development, and a supportive team culture.
- Other info: Great opportunity for career growth in a fast-paced, innovative sector.
- Why this job: Join a forward-thinking team and make a real impact in the financial industry.
- Qualifications: 3+ years in compliance or risk roles with strong knowledge of AFSL and ASIC regulations.
The predicted salary is between 157500 - 192500 $ per year.
Our client is an award-winning multi-asset broker / investment Fin Tech that provides access to thousands of financial products across FX, CFDs, Indices, Commodities, Shares, ETFs and Bonds.
They're committed to delivering a reliable and trusted trading environment, offering integrity, security, and operational excellence.
This is a new addition to their 2Lo D Compliance team, to manage end-to-end regulatory compliance matters for the firm's AFSL.
The Organisation & The Role
Our client is an award-winning multi-asset broker / investment Fin Tech that provides access to thousands of financial products across FX, CFDs, Indices, Commodities, Shares, ETFs and Bonds.
They're committed to delivering a reliable and trusted trading environment, offering integrity, security, and operational excellence.
This is a new addition to their 2Lo D Compliance team, to manage end-to-end regulatory compliance matters for the firm's AFSL.
Duties & Responsibilities
- Conduct compliance monitoring and assurance reviews to ensure adherence to AFSL obligations and regulatory requirements.
- Ensure the firm complies with Corporations Act and ASIC Regulatory Guidelines.
- Identify, assess, and investigate compliance incidents and breaches, including ASIC reportable situations where required.
- Update compliance policies / procedures / frameworks in line with regulatory changes.
- Develop and deliver compliance education and awareness activities that strengthen understanding of regulatory obligations across the business.
- Review marketing documents to ensure they remain accurate and compliant.
- Manage complaints and dispute resolution in line with ASIC and AFCA requirements.
- Support internal audits, regulatory reviews, and ASIC enquiries.
- Key Requirement
- 3+ years of hands-on experience in a compliance, risk, regulatory or governance role with an AFSL licensee.
- Strong understanding of AFSL obligations, ASIC regulations, the Corporations Act 2001, and AML/CTF requirements.
- Broad experience across compliance monitoring, breach management, risk assessments, policy development, marketing compliance (RG 234) and complaints resolution (IDR & EDR, RG 234)
- Open-minded, adaptive and collaborative - passionate about learning and getting your hands dirty.
- Keen interest in global markets trading / broking is highly regarded.
- #J-18808-Ljbffr
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