Compliance Associate

2 weeks ago

Melbourne, Australia capital.com 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.

  • 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...

  • Quality Compliance Associate

    4 weeks ago

    Melbourne, Australia Bell People Consultants Full time

    Global Pharmaceutical Manufacturing Organisation - Long Term Contract Opportunity - Melbourne Metro Area - Hybrid Role - WFH & Office Based **About the Company**: Operating as a major global pharmaceutical manufacturing organisation with global sites worldwide, our client is well known for its growth and innovation and is an Australian iconic brand in the...

  • Associate Governance Compliance

    3 months ago

    Melbourne, Australia NAB - National Australia Bank Full time

    **Work type**: Permanent Full time **Location**: VIC- Melbourne CBD - **You’ll be encouraged to experiment and find out where you excel**: - **Be rewarded and recognised for the value you bring**: - **Bring your in-depth governance experience** It’s more than a career at NAB. It’s about more opportunity, more moments to make a difference and more...

  • Quality Compliance Associate

    2 weeks ago

    Melbourne, Victoria, Australia Bell People Consultants Full time

    Global Pharmaceutical Manufacturing Organisation Long Term Contract Opportunity Melbourne Metro Area Hybrid Role WFH & Office BasedAbout the Company:Operating as a major global pharmaceutical manufacturing organisation with global sites worldwide, our client is well known for its growth and innovation and is an Australian iconic brand in the marketplace,...

  • Quality Assurance Compliance Associate

    2 weeks ago

    Melbourne, Australia Bell People Consultants Full time

    Global Pharmaceutical Organisation - Quality & Document experience - Melbourne Metro Area **About the Company**: Operating as a major global Multinational manufacturing organisation, our client is well known for its growth and innovation and is an Australian iconic brand in the marketplace, offering a range of healthcare products to local & global...

  • Quality Assurance Compliance Associate

    2 weeks ago

    Melbourne, Victoria, Australia Bell People Consultants Full time

    Global Pharmaceutical Organisation Quality & Document experience Melbourne Metro AreaAbout the Company:Operating as a major global Multinational manufacturing organisation, our client is well known for its growth and innovation and is an Australian iconic brand in the marketplace, offering a range of healthcare products to local & global markets.Due to...

  • Quality Compliance Associate

    3 weeks ago

    Melbourne, Australia NES Fircroft Full time

    **About the company**: Our client, a Global Pharmaceutical Organisation, is looking for an **experienced Quality Compliance Associate **to join their team on a **12 month contract basis**. This is a **full-time contract** position, located in the **inner suburbs of Melbourne**. **About the role**: This role is a quality advisor and coach to the Engineering...

  • | Compliance Associate

    2 weeks ago

    Melbourne, Victoria, Australia BestForexBonus Full time

    Job description: 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. Conduct compliance testing in accordance with the Compliance Monitoring Plan. Identify inefficiencies, identify and...

  • Quality Compliance Associate

    2 weeks ago

    Melbourne, Victoria, Australia Evolve Scientific Full time

    About the company: Our client, a Global Pharmaceutical Organisation, is looking for an experienced Quality Compliance Associate to join their team on a 12 month contract basis. This is a full-time contract position, located in the inner suburbs of Melbourne.About the role: This role is a quality advisor and coach to the Engineering department. This role will...

  • Associate Director Compliance Capability

    2 weeks ago

    Melbourne, Victoria, Australia NAB - National Australia Bank Full time

    Work type: Permanent Full timeLocation: VIC- Melbourne CBD, VIC- Melbourne inner- Outstanding permanent career opportunity:- Make a genuine difference through the work you do:Be rewarded and recognised for the value you bringIt's more than a career at NAB. It's about more opportunity, more moments to make a difference and more focus on you.Your job is just...

  • Senior Risk

    4 weeks ago

    Melbourne, Australia Anton Murray Consulting Full time

    MelbourneInvestment BankingContract or TemporaryOur client is a global US firm seeking a Senior Risk & Compliance Project Associate in their Melbourne office. Scope of Work:As part of the Compliance function, you will join a team of experienced risk and compliance professionals, working collaboratively with the business and second line both in Australia...

  • Compliance and HR Coordinator

    2 weeks ago

    Melbourne, Australia u&u Recruitment Partners Full time

    **Position Summary**: Compliance and HR Coordinator This role entails the administration, maintenance, and implementation of effective Compliance and HR frameworks, policies, and processes. The role involves collaborative work with internal and external stakeholders, upholding compliance, HR, and governance effectiveness. It reports to the Executive...

  • Associate, Fund Compliance

    2 weeks ago

    Melbourne, Australia Six Degrees Executive Full time

    Location: - Melbourne- Job Type: - Temporary- Salary: - $135K inclusive super- Contact: - Katie Newman**About the company** Our client is a leading funds management firm with a global reach. With a commitment to sustainable investment, the firm is at the forefront of delivering returns which align with its values. **About the role** Offered as a 12 month...

  • Associate, Fund Compliance

    2 weeks ago

    Melbourne, Victoria, Australia Six Degrees Executive Full time

    Location: Melbourne Job Type: Temporary Salary:- $135K inclusive super Contact:Katie NewmanAbout the companyOur client is a leading funds management firm with a global reach. With a commitment to sustainable investment, the firm is at the forefront of delivering returns which align with its values.About the roleOffered as a 12 month Fixed Term Contract, with...

  • Compliance and HR Coordinator

    2 weeks ago

    Melbourne, Victoria, Australia u&u Recruitment Partners Full time

    Position Summary: Compliance and HR CoordinatorThis role entails the administration, maintenance, and implementation of effective Compliance and HR frameworks, policies, and processes.The role involves collaborative work with internal and external stakeholders, upholding compliance, HR, and governance effectiveness. It reports to the Executive Manager of...

  • Compliance Analyst

    2 weeks ago

    Melbourne, Australia Kaizen Recruitment Full time

    Reputable industry super fund - Close-knit, collaborative business culture - 12-month fixed-term contract role | Melbourne inner suburbs **About the Company** *** Our client is a respected industry superannuation fund offering its members a range of services and products designed for putting its members first. Support the larger risk and compliance team and...

  • Compliance Officer

    3 weeks ago

    Melbourne, Australia SKG Consulting Full time

    SKG Consulting Services is a compliance consulting firm specializing in Vocational education compliance services. As a result of the rapid growth of the organisation we are seeking to employ compliance officers to join our journey of compliance. This role will primarily be responsible for assisting and guiding the appointed consultant with identifying,...

  • Compliance Officer

    2 weeks ago

    Melbourne, Victoria, Australia Niyaa People Ltd Full time

    We are actively looking for a Compliance Officer to join a housing association in the Birmingham area on a permanent basis. In return you will receive a car allowance, flexible working hours, 34 days annual leave, the option to purchase extra annual leave, life assurance, employee wellbeing programme, life admin days, health cash plan, reduced rate gym...

  • Compliance Officer

    2 weeks ago

    Melbourne, Australia Department of Jobs, Skills, Industry and Regions Full time

    Compliance Officer - Multiple Positions - Salary: $92,332 - $104,762 (Plus Superannuation) - Ongoing, full-time role (flexibility may be available) - Usual work location: 121 Exhibition Street, Melbourne CBD (flexibility may be available) The Role Reporting to the Manager, Boxing and Combat Sports, the Compliance Officer will assist in ensuring sector...

  • Compliance Officer

    4 weeks ago

    Melbourne, Australia u&u Recruitment Partners Full time

    The Company The Opportunity The Compliance Officer's role is to assist with the development, implementation and ongoing monitoring of regulatory initiatives. This role is to identify and support continuous improvement activities which lead to excellence of the organisations Integrated Management Systems. The role will also provide support to ensure the...