Regulatory Compliance Director, Australia

3 weeks ago

Melbourne, Victoria, Australia P2P Full time
Key Responsibilities
  • Assist in managing the regulatory compliance program in Australia, including monitoring AFSL obligations, advising on compliance matters, and preparing regulatory reports.
  • Coordinate with global compliance teams and liaise with regulatory bodies such as ASIC and AUSTRAC.
  • Provide guidance on new products, business structures, and compliance policies.
  • Conduct compliance assessments, manage internal controls, and oversee third-party due diligence.
  • Review marketing materials and handle escalated disputes, including AFCA liaison.
  • Support regulatory inquiries, manage specific requests like bankruptcy and deceased estate cases.
  • Develop and update compliance policies, stay informed on regulatory changes, and support audits and inspections.
  • Assist in preparing management reports and responses to industry consultations on digital assets.
  • Promote compliance awareness through training and ensure staff adherence to policies.
  • Perform duties as 2IC for the Australian compliance team and support other compliance-related tasks as instructed.
Requirements
  • Minimum of 10 years' experience in financial services compliance.
  • Bachelor's degree; RG146 compliance and ACAMS certification preferred.
  • Knowledge of AFSL obligations, derivatives compliance, and reporting requirements.
  • Leadership experience and familiarity with ASIC, AUSTRAC, RBA, and APRA regulations.
  • Strong analytical, communication, and organizational skills.
  • Interest and knowledge in cryptocurrency, blockchain, and fintech ecosystems.
  • Based in Australia with advanced computer literacy.

Note: The original job description contains some repetitive and lengthy sections; the above refinement consolidates responsibilities and requirements for clarity and focus.


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