Compliance Associate

2 weeks ago

Melbourne, Victoria, Australia capital Full time
We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience.

We deliver only the best, so we are always in search of the best people to join our ever-growing talent team.


We're looking for a Junior to Mid level Compliance Associate to assist the local Compliance team by conducting testings and checks, reviewing existing procedures, and proactively driving through changes to improve the robustness of compliance controls.

This role provides a great opportunity to enter into a compliance career within a heavily regulated environment.

Duties and Responsibilities:

  • Assist the local Compliance team, with ensuring the company complies with its statutory and regulatory obligations where required, ensure requirements of ASIC and other regulators or bodies (i.e., AFCA, OAIC, AUSTRAC) are met
  • Effectively conduct various compliance testing in accordance with the Compliance Monitoring Plan
  • Proactively identify inefficiencies, identify and drive through automated/manual solutions where possible to mitigate regulatory risks to improve business processes and customer experience
  • Review, approve, and audit marketing materials (e.g. financial adverts, website disclosures, market videos) in accordance with regulatory and internal compliance advertising protocols
  • Review, monitor and conduct tests of the regulatory compliance elements of the staff training program
  • Conduct suspicious matter reviews, and reports in accordance with the company's AML program if deem appropriate
  • Handle internal and external enquiries in relation to the company's compliance and/or back office policies, procedures and controls
  • Promote a compliance culture and assist employees to understand their compliance responsibilities

Experience, Knowledge and Skills:

  • At least 1 year of practical experience in a similar role
  • An interest in regulatory compliance
  • Experience in compliance or within financial service operations is desirable
  • Has experience working with overseas offices within a global financial institution (desirable, not essential) Eligibility to work in Australia without any restrictions
  • Good understanding of Australian financial services compliance, operations and regulations is desirable
  • Knowledge and exposure to regulatory requirements
  • Experienced working within the Australian CFD and margin FX industry is desirable
  • Understanding of KYC and AML regulations / procedures


Capital Com is a Hybrid work environment, where you can work from the comfort of your home as well as our charming open planned office located at 120 Collins Street Capital Com advocates flexibility to suit the new normal as well as the regular ups and downs of modern lifestyle.

This role offers great career growth opportunities with our sponsored quarterly professional development training (your choice on what skills you want to enhance) Performance related bonuses and a modern approach to performance management Focused on development and professional growth within our global organisation.


What you get in return:

For starters, a competitive salary.

You get to work with a dynamic, fast-growing company that rewards talent, initiative, and creativity. Additional paid days off and the opportunity to work with one of the smartest teams on the market.

Be part of the leading digital assets movement and elevate your career with us


We are looking for talent Send us your resume and maybe there is a place for you in our team.

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