Compliance Officer

5 days ago

Sydney, New South Wales, Australia TMGM Webinar Ride the Gold Wave Full time

TMGM stands at the forefront of online trading and investment services, proudly serving as Chelsea FC's Official Regional Online Forex and Trading Partner in Asia Pacific. With a global presence and offices spanning three continents, TMGM has earned its reputation as a trusted CFD trading provider. We embody excellence through a commitment to regulatory compliance, technological innovation, and unparalleled customer service.

We are looking for a Compliance Officer who will be responsible for the application, management and maintenance of overseas licenses. Reporting directly to the Compliance Manager, the incumbent will play a pivotal role in ensuring compliance with relevant regulations and standards.

Responsibilities:

  1. Manage regulatory and licensing matters, including licencing application, variation and related licensing reporting requirements.
  2. Serve as the primary point of contact for all compliance-related inquiries and issues pertaining to the licenses under management.
  3. Support internal and external audits, as well as regulatory reviews, by providing necessary documentation and information.
  4. Stay updated on changes in regulations and ensure compliance with applicable laws and regulations.
  5. Collaborate with cross-functional teams to develop and implement compliance policies, procedures, and controls.
  6. Conduct periodic compliance assessments and reviews to identify areas for improvement and implement remedial actions as necessary.
  7. Assist in the resolution of compliance issues, including the investigation of potential breaches and the implementation of corrective measures.
  8. Ad-hoc duties as requested.

Minimum Requirements:

  1. Bachelor's degree in finance, law or related field. Advanced degree preferred.
  2. Minimum of two years of experience in compliance or legal roles, preferably in the financial services industry.
  3. Strong proficiency in Microsoft Office suite.
  4. Strong attention to detail and organizational skills.
  5. Excellent communication and interpersonal abilities.
  6. Ability to multitask and prioritize tasks effectively.
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