Head of Compliance, FX / CFD - Sydney
The Organisation & The Role:
Our client is an established and trusted brand who's been providing edge-cutting trading solutions to clients around the world over the past decade. This newly created Head of Compliance role is a unique opportunity for an experienced compliance manager to advance their career. You will be accountable for the execution and refinement of the firm's Australia compliance framework and program, reporting directly into the company directors and leading a small team.
Your Main Responsibilities:
Manage regulatory applications, maintain current AFSL licences and regulatory relations (serving as the primary contact for all regulatory bodies and authorities)
Manage the compliance monitoring plan, AML/CTF program, KYC/client onboarding, trade surveillance and derivative transaction reporting frameworks
Maintain awareness and ensure compliance with Australian regulatory framework, securities laws and regulations including APAC and EU laws
Continuously review and update existing compliance manuals, policies, procedures and training programs to reflect latest regulatory changes
Proactively identify any process gaps and improvement procedures, formulate remediation action plans
Oversee the remediation of self-disclosed non-compliance issues, timely resolution of audit findings, any identified compliance gaps
Develop and deliver senior management and Compliance Committee reporting on regulatory changes, key controls testing and incidents management
Lead and coach a team of compliance managers and analysts
Coordinate with offshore compliance resources when required
The Requirements:
Current / previous experience in FX, CFD, OTC Derivatives trading/broking industry is compulsory
Tertiary Degree (preferably in Law, Finance, Business Administration, Accounting or any AML and Compliance related qualifications)
Minimum 5 years of track record experience in the AML and/or Regulatory Compliance function
Good knowledge of the Corporations Act, ASIC, AFCA and AUSTRAC and other local regulatory requirements is a must
Demonstrable knowledge of regulatory obligations for an ASIC regulated financial institution
Previous experience leading and coaching a small team is ideal
For further information on this role or to confidentially apply, please send an up to date CV to ****** contact
Eugena Gong
on
02 8227 9200
or apply directly via the
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