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 talent team.
The role of Head of Compliance (HoC) will lead the way in the maintenance, development and oversight of compliance practices and procedures in meeting financial services, anti-money laundering, conduct expectations and all other regulatory requirements.
Responsibilities:
- Liaise and report to the relevant regulatory bodies (e.g. ASIC, AFCA)
- Act as an adviser to the company’s board of directors and senior management on general compliance issues
- Maintain an up-to-date understanding of relevant aspects of prevailing business practices in the Company and the application of regulations to its business
- Ensure local operation / administration procedures comply with relevant regulations and that this is adequately documented
- Ensuring staff are trained in local regulatory requirements and receive induction training, and all staff required to comply with the relevant regulator’s training and competence regimes do so
- Advising staff of regulatory issues as and when required
- Conducting and recording regular monitoring to ensure that business and transactions of the Company are conducted in compliance with in-house rules and regulations
- Ensuring that client due diligence compliance procedures are adequate
- Ensuring any issues arising are satisfactorily addressed and resolved Investigate issues of concerns in relation to compliance as and when required
- Assess the Company’s status of compliance and report periodically to senior management and the board of directors keeping them informed of all relevant matters
- Design and review the Company’s internal policies and procedures related to compliance maters and controls relevant to the preventions of money laundering and terrorist financing and ensure the policies of the Company are always in line with local and international regulations
- Monitor and assess the correct and effective implementation of the policies in relation to the prevention of money laundering and terrorist financing, implementation of the risk management and procedures manual, apply monitoring mechanisms in order to assess the level of compliance of the departments and employees of the company; give guidance for corrective measures where necessary and inform the Board of Directors if needed
- Detect, record and evaluate, at least on an annual basis, all risks arising from existing and new customers, new financial instruments and services, and update and amend the systems and procedures applied by the Company
- Assist with internal and external audit
- Provide advice and guidance to employees on subjects related to general compliance matters
- Determine the Company's departments that need further training and education and organise appropriate training sessions/seminars
- Prepare and apply an annual staff training program
- Assess the adequacy of the education and training provided
- Prepare the Annual Report of the Compliance Officer
- Respond to all requests and queries from the Commission, and provide them with all requested information
Requirements:
- Bachelor degree in relation to law (preferably)
- 5 years of practical experience in a role with the same or very similar level
- A strong working knowledge of Australian financial services regulations and requirements
- Experience working within an Australian CFD and margin FX industry is desirable
- Experience with working overseas within a global financial institution
- Strong problem-solving skills with a demonstrable track record of effectively managing a complex range of stakeholders
- Ability to be a self starter and proven demonstration of having a hands-on approach
- Ability to confidently talk about current/past performance, professional approach and presentable appearance at all times
- Highly articulate communication skills both written and oral
- Team management and leadership experience
- Full eligibility to work in Australia
What you'll get in return:
- Competitive Salary
- International Team Collaboration
- State-of-the-art Equipment
- Generous Annual Leave Policy
- Employee Referral Program
- Comprehensive Private Medical Insurance
- Annual Global Performance Review Cycle
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.
