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Compliance Officer

3 months ago

Sydney, New South Wales, Australia WE ARE VIVCOURT Full time
On the surface VivCourt Trading might look like your average financial trading firm.

But you just have to scratch the surface (or chat to anyone who works there) to know it most definitely is not.

VivCourt's founder, Rob Keldoulis, has taken the traditional corporate business model and flipped it on its head.

He has challenged every aspect and come away with what he believes will evolve into the only sustainable corporate model of the future.


Unlike the traditional company structure of a financial institution, which sees CEO's taking ridiculous rewards and focusing all efforts on keeping emotionally removed shareholders happy, VivCourt is different.

Rob has achieved this by removing the Shareholder layer altogether and replacing it with a charitable trust.

By flipping the thinking around, he has built a business that is centred on the employees, customers and charities. These are the VivCourt shareholders - which when you think about it logically should be THE only shareholders.

There's an imbalance in the world that is spawned by the usual shareholder structure - where the top 100 CEO's earn more than the poorest 1 billion people combined.

The obvious upside to the VivCourt model is that wealth can be generated with a social conscience. It brings a sense of purpose to one of the most capitalistic and self-serving industries.

It provides its employees with a deeper satisfaction and a way for their job to advance them other than just purely financially.

The other leg of this model is the internal effect. By removing the shareholder layer, you also remove the 'fear factor' of employment. There is no hounding by management to achieve certain results to simply appease shareholders.

This means that management is able to take a longer-term view, which frees them up to focus on the welfare of the employees.

Management becomes a tool for the employees, a partnership of equals to work alongside them as opposed to against them.


What we do:

VivCourt is a proprietary trading firm with a major difference.

Our main trading floor is in Sydney, our Energy trading business is in Brisbane and local representation in several other Australian locations including Melbourne.

We also have an office in Amsterdam, Netherlands.


While VivCourt originally started as an options market maker on the major Asian equity indices, it has grown into a business trading a wide range of global strategies.


These strategies vary from manual trading to fully automated trading, from trading a couple times per day to trading on a nano-second level, and from trading based on longer term structural views to trading on short term fluctuations.

We have expanded from simply trading Options and Futures to ETF's, Stocks, Bonds, Electricity, FX & Commodities.

What you'll do as a Compliance Officer at Vivienne Court:
Vivienne Court is seeking a Compliance Officer in our Sydney office to join our Legal and Compliance department. We are looking for a proactive self-starter who can work independently to achieve both individual and team goals. This individual will work closely with other team members across the business.


As Vivienne Court continues to expand by opening new offices and entering new markets, this position will continue to gain exposure and experience within the trading industry.


In this role, you will:

  • Review daily trade surveillance reports and escalation of any identified issues
  • Submission of periodic reports and notifications to regulators
  • Identify upcoming regulatory change and communicate impacts across the business


 Maintain company registers
  • Breaches & Incidents, Training, Staff Trading, Outside Interests
  • Maintain authorised trader/signatory lists with various counterparties
  • Assist with gathering information and responding to regulatory investigations
  • Conduct periodic desk reviews to assess performance against regulatory requirements
  • Draft, update and monitor compliance with company policies and procedures
  • Compile compliance metrics and prepare reports for the management committee
  • Coordination of compliance training across the business
  • Attend industry meetings and workshops
  • Assist with AML/CTF obligations
  • Degree qualified in Business, Finance, Legal or other relevant discipline.
  • Australian permanent resident or citizen
  • Minimum of 2 years' experience in a financial markets role
  • Excellent oral and written communication skills
  • Excellent attention to detail

What you'll get

  • Remuneration: A competitive salary and bonus package
  • Giving back: You'll get yearly impact day(s) and social bonuses (10K twice a year) that you can use to support a nonforprofit close to your heart.
  • In addition you will also enjoy free food, coffee and beverages, gym classes, inhouse massage, a variety of other social activities and an annual company trip.
**A sense of belonging