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May

Head Of Compliance - High Profile Global Cfd/fx Broker

Succession Recruitment - Sydney, NSW

Banking & Finance
Source: uWorkin

JOB DESCRIPTION

 
Bullet points:

  • Full-time/Permanent position 
  • Sydney - Location 
  • Growing global company

Full Job Description: 

Why is this job for me?
 

  • Opportunity to join a rapidly growing global company
  • Make a difference by developing and improving an effective compliance framework 
  • Work closely with amazing compliance and legal teams

    What makes this a great company to work for?

    Our client offers seamless trading and investments in financial markets across the globe. They have developed the technology and the experience to deliver a trading and investment platform for the individual and are a reliable and reputable provider.

    What will my day to day look like? 

    You will assist with the development, implementation, and maintenance of a powerful and effective compliance framework to ensure the Company’s compliance with legal and regulatory requirements. 

    You will be responsible for: 

  • Supporting the compliance risk assessment process 
  • Ensuring that all compliance risks are appropriately identified, assessed, reported, and monitored. 
  • Coordinating the reviewal of existing, new, and proposed regulations and maintaining a good understanding of the relevant regulatory requirements. 
  • Providing advice and guidance to the various departments, being the first point of contact for compliance matters.
  • Maintaining records to assist in the preparation of periodic and other reports. 
  • Developing and implementing ongoing monitoring procedures 
  • Conducting reviews/audits 
  • Developing, maintaining, and updating of compliance and AML manuals, policies, procedures, and controls. 
  • Identifying, examining, and reporting on suspicious activities 
  • Providing ongoing training and guidance to employees on compliance-related matters

What skills and experience do I need?

You are a proactive and results driven person with strong commercial orientation and awareness. You take a practical approach in understanding and applying regulatory requirements. You are self-motivated with an ability to work autonomously whilst under pressure and meeting tight deadlines.

You have:  

  • A University Degree in Law, Business, Accounting, Finance, Economics, or a relevant field 
  • Possession of an ICA compliance certificate or ASIC examinations (such as RG146) will be considered an advantage. 
  • At least 5 years of relevant experience in a similar role and good knowledge and exposure to CFD/FX products, ASIC, AFCA, AUSTRAC and other regulated entities. 
  • Very good knowledge of the regulatory regime for financial markets and investment firms under ASIC 
  • Resilience & Adaptability 
  • Tact, diplomacy, and assertiveness in applying policy. 
  • Ability to prepare correspondence to a high standard and a high level and understanding of privacy and confidentiality 
  • Excellent communication and interpersonal skills
  • Ability to work collaboratively
  • Fluency in English 
  • Computer literacy skills

Sounds great! How do I apply?

If you have the skills and experience as detailed above, please contact John Hill at Succession Recruitment on Ph. 0416 073 639 or upload your Resume NOW! 

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