2 дня назад
Senior Compliance Officer (Forex/CFD)
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Senior Compliance Officer (Forex/CFD): Supporting Australian and global trading operations through licensing, AFSL compliance, regulatory monitoring, risk assessments, and compliance reviews with an accent on CFDs, forex, OTC derivatives, and retail financial services regulation. Focus on coordinating regulatory submissions across jurisdictions, assessing breaches and control failures, reviewing products and disclosures, and providing technical guidance to junior compliance staff.
Location: Hybrid in Sydney, New South Wales, Australia
Company
provides online trading and investment services, including CFD and forex trading, with global operations and offices across three continents.
What you will do
- Manage licence applications, renewals, variations, regulatory submissions, statutory filings, and ongoing requirements across multiple jurisdictions.
- Monitor licensing status, regulatory deadlines, compliance obligations, and regulatory developments, escalating material risks and delays.
- Maintain compliance policies, procedures, registers, and internal controls; conduct compliance reviews, risk assessments, and control testing.
- Support investigations and reporting of breaches, complaints, incidents, and control failures, including preparation of reports for management and governance bodies.
- Review CFD products, client disclosures, marketing materials, business initiatives, process changes, commercial agreements, and governance documents.
- Lead assigned compliance projects, coordinate audits and regulatory reviews, liaise with regulators and advisers, and provide technical guidance to junior team members.
Requirements
- At least three years of relevant compliance, regulatory, or legal experience with the ability to work independently at Senior Compliance Officer level.
- Experience applying Australian regulatory requirements to CFDs, forex, OTC derivatives, leveraged trading, or online broking.
- Strong knowledge of AFSL obligations and the Australian regulatory framework for retail OTC derivatives and CFDs.
- Practical experience with DDO/TMD, breach reporting, complaints and AFCA matters, AML/CTF, client money, disclosure, or marketing compliance.
- Strong regulatory judgement, drafting, communication, and stakeholder management skills.
- Professional proficiency in spoken and written English and Mandarin is required.
Nice to have
- Broader AFSL regulatory or financial services legal experience.
- Legal, compliance, risk, or finance qualifications.
Culture & Benefits
- Competitive remuneration with performance-based bonus opportunities.
- Career development and opportunities to deepen expertise within a global business.
- Exposure to cross-regional operations and international stakeholders.
- Collaborative, inclusive, and supportive working environment.
- Flexible working arrangements aligned with role and business requirements.
- Health and wellbeing benefits.
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