Menu
Connecting...
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 of 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 iscompulsory
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 eugena.g.a4lm85jw4ro@ethosbc.aptrack.co contact Eugena Gong on 02 8227 9200 or apply directly via the Apply for this job button. Only WORD FORMAT resumes will be accepted.
A well-performing Global Bank is seeking a FX Trader. By staying up-to-date with the latest market trends and insights, you will be tasked with market making and trade execution responsibilities fo...
Exciting new Payments Compliance opportunity Experience with product compliance required Strong experience in payments or digital banking desired Our Client is a leading tech player, seeking an e...
Established banking client Opportunity for growth Excellent exposure An established bank is seeking a Head of Consumer Banking Operations to join the team. The Head of Consumer Banking Operations...
Litigation, Compliance or Regulatory Non-Fee Earning Lawyer Position The Role: Our client is a leading international law firm in Hong Kong. They are now seeking a compliance lawyer in their team in...
The Role: Reporting directly into the Chief Compliance Officer, this role will see you elevate your Compliance & Legal career with a thriving bank that has an extensive international network of acr...
The Role: My Client is a Global Payments firm and we are recruiting for a Regional Compliance Lead to join the business in Singapore. You will be overseeing the Regulatory and FCC function across A...
Exciting new Payments Compliance opportunity Experience with product compliance required Strong experience in payments or digital banking desired Our Client is a leading tech player, seeking an e...
Role Summary: We're working with one of the most highly regarded local banks in Australia. This broad and highly hands-on role which will see you attend to all facets of risk and compliance matters...
Role Summary: We are looking to fill a critical business-facing role in the 2nd LoD, to provide compliance support, advice and sign-off to Consumer Wealth Distribution. The role suits a confident...
The Role:This role is to collaborate with the Executive Manager in providing support to the 2nd Line Business Banking Team with reporting for risk committees. Your Responsibilities: Primarily pr...
Role Summary: We would like to speak to technically sound Risk, Compliance & Assurance professionals who's great with Excel data! A promising role is now available, to assist the Enterprise Compl...
We're working with a few global banks in recruiting for their Line 2 regulatory compliance team. The role is broad and autonomos, working with a team of experienced compliance and/or legal professi...