Compliance Analyst

1 week ago

Sydney, New South Wales, Australia Vantage Full time

Join our team in Sydney or Melbourne as a Compliance Analyst.

Due to the nature of the role, relevant compliance experience in the FX/CFD industry is a must.

Company Description

Vantage is a global multi-asset brokerage firm based in Sydney, licensed by the Australian Securities and Investments Commission (ASIC). We offer trading opportunities in CFDs for Forex, Commodities, Indices, Shares, and Cryptocurrencies. Our commitment is to provide a robust trading environment, complemented by a fast and user-friendly trading platform, enabling our clients to capitalize on trading opportunities efficiently.

Key Responsibilities

  • Conduct compliance monitoring review.
  • Completing compliance checks and preparing compliance report.
  • Ensure compliance with ASIC regulations, Corporations Act 2001, Anti-Money Laundering (AML) laws, and other relevant financial regulations.
  • Develop, review, and update compliance policies and procedures to reflect regulatory change.
  • Conduct internal audits and compliance reviews to assess adherence to regulatory requirements.
  • Assist in preparing reports and filings required by ASIC and other regulatory bodies.
  • Identify, assess, and mitigate compliance risks within the organization.
  • Implement corrective actions for any non-compliance issues and work with internal teams to improve compliance control.
  • Provide compliance training to employees to ensure awareness of regulatory obligation.
  • Advise management and key stakeholders on compliance risks and best practice.
  • Maintain comprehensive compliance records, reports, and documentation.
  • Assist in preparing compliance-related reports for senior management and regulatory authorities.

Key Qualifications & Experience

  • Bachelor's degree in law, Finance, Business, or a related field.
  • Minimum 2-3 years of experience in a compliance, risk management, or regulatory role.
  • Strong knowledge of ASIC regulations, the Corporations Act 2001, AML laws, and financial services compliance.
  • Experience in conducting audits, risk assessments, and policy development.
  • Excellent analytical and problem-solving skills with strong attention to detail.
  • Ability to interpret and apply complex regulatory requirements effective.
  • Strong communication skills with the ability to liaise with internal teams and regulatory bodies.
  • The ideal candidate will have experience, either prior or current, in the FX/CFD industry.
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