Head of Compliance

7 days ago

Sydney, Australia Sharp & Carter Full time

Newly created role
- Fast paced and dynamic environment
- Diverse and challenging opportunity

**About Our Client**:
Our client who are headquartered in Melbourne are an industry leader with a vision to revolutionise trading. With a commitment to providing traders around the world with cutting-edge technology and exceptional client experiences, our client has become a prominent player in online Forex and CFD trading. Their success is driven by a blend of innovative technology, low-cost pricing, and an unwavering focus on client satisfaction. They foster a culture that values diversity, inclusivity, adaptability, progressiveness, collaboration and results-driven client support.

**Role Responsibilities**:
The Head of Compliance, Australia is newly created and a key leadership role within the global Legal, Compliance, and Risk department and will lead a small team. The role will have responsibility for leading the Australian Compliance team and ensuring their compliance management framework and arrangements are well developed and effectively mitigate regulatory risk.

The role will contribute to regional and global initiatives and have significant autonomy of action in how overall objectives of the role are achieved.

This role will work collaboratively with commercial stakeholders ensuring a responsive, pragmatic and commercially minded approach that is aligned with the organization’s strategic objectives and risk appetite.

**Reporting Line**:
This position reports to the Regional Head of Compliance located in Melbourne.

**Key Position Responsibilities**:

- Develop and deliver on the strategy for the Australian Compliance function
- Maintaining and enhancing the Compliance Management Framework in order to create an integrated, strategic, and consistent approach to managing compliance obligations
- Ensuring the effective and timely delivery of compliance activities
- Providing informative compliance advice in a timely manner to our client’s management and staff, as well as ensuring an appropriate and timely two-way flow of information between Compliance and the business
- Working with the Regional Head of Compliance to identify, assess, and mitigate the impact of current and future legislative and regulatory requirements.
- Managing regulatory communications and engaging with stakeholders such as the wider Legal, Compliance & Risk team in consideration of responses
- Developing and enhancing the Compliance Monitoring Program inclusive of routine compliance monitoring of key regulatory obligations and business processes, as well as rolling Business Reviews, reporting on identified issues or weaknesses and following through to ensure implementation of agreed action points
- Preparing and developing accurate and meaningful management information for compliance reports delivered to the entity’s Board and Compliance Committee
- Ensuring there are adequate, updated and sufficiently detailed compliance and regulatory policies and procedures in place for the entity and its employees
- If required, acting as the MLRO or assist the designated MLRO to ensure compliance with regulatory requirements in Anti-Money Laundering, the prevention of Financial Crime and Fraud, Anti Bribery and Corruption and sanction issues including reporting unusual and suspicious activity
- Ensuring completion of designated regulatory reporting obligations
- Completing assessments of compliance incidents and breaches, investigations and reporting
- Assisting with the content and management of regulatory disclosure and legal documents
- Managing and coordinating compliance education and provide training sessions as required
- Keeping current with new or changing legislative requirements
- Complete all mandatory training as required to attain and maintain competence
- Leading, managing and developing team members
- Assisting with audits and work with internal and external consultants and advisors as required
- Collaborating with the wider Compliance team in our international offices to implement shared initiatives

**About you**:

- Relevant tertiary degree or equivalent proven experience
- Minimum 8 years regulatory compliance experience, with AML/CTF experience
- Excellent knowledge of key Australian financial services legislation, with solid knowledge of AML/CTF and Privacy/Data Protection
- CFD & Forex industry experience a distinct advantage
- Ability to interpret regulatory policy and establish solutions for its implementation and fast adoption
- Demonstrated experience in developing, implementing and managing compliance and AML/CTF frameworks and control environments
- Demonstrated people leadership experience in a financial services regulatory role with a proven ability to lead, coach, and mentor
- Strong business acumen with the ability to balance risk appetite with commercial objectives
- Demonstrated ability to effectively plan, prioritize and manage resources
- Strong organizational and time management skills and ability to

  • Head of Compliance

    6 days ago

    Sydney, Australia Compliance and Risk Management Recruitment Full time

    Banking & Finance - Other - Sydney - Permanent / Full Time **05th April, 2024**: **Key Responsibilities** - Key point of contact for regulatory compliance matters (line 2 advice). - Manage & maintain organisations Compliance framework and management procedure, instilling a culture of continuous improvement. - Coordinating with regulatory organisations...

  • Head of Compliance

    2 weeks ago

    Sydney, New South Wales, Australia Compliance and Risk Management Recruitment Full time

    Banking & Finance Other Sydney Permanent / Full Time05th April, 2024:Key Responsibilities Key point of contact for regulatory compliance matters (line 2 advice). Manage & maintain organisations Compliance framework and management procedure, instilling a culture of continuous improvement. Coordinating with regulatory organisations (APRA, ASIC, AUSTRAC)....

  • Compliance Manager

    7 days ago

    Sydney, Australia Compliance and Risk Management Recruitment Full time

    Banking & Finance - Stock Broking - Sydney - Permanent / Full Time **08th February, 2024**: **This is an exceptional opportunity join a Capital Markets Institution in a Compliance Manager role. Australia is the main hub across APAC for the financial institution and due to growth across the region they are looking to expand.** **Key Responsibilities** -...

  • Compliance Manager

    2 weeks ago

    Sydney, New South Wales, Australia Compliance and Risk Management Recruitment Full time

    Banking & Finance Stock Broking Sydney Permanent / Full Time08th February, 2024:This is an exceptional opportunity join a Capital Markets Institution in a Compliance Manager role. Australia is the main hub across APAC for the financial institution and due to growth across the region they are looking to expand.Key Responsibilities Assist in developing the...

  • Compliance Manager

    2 weeks ago

    Sydney, New South Wales, Australia Compliance and Risk Management Recruitment Full time

    Insurance Insurance Life / Health Sydney Contract08th May, 2023:About:World leading insurance business is currently seeking a Compliance Manager (AVP) to help support the Australian entity.Your role Reporting to the Head Compliance, you will perform a critical role within. To provide responsive, efficient, practical, commercial, and highquality compliance...

  • Compliance Manager

    2 weeks ago

    Sydney, New South Wales, Australia Compliance and Risk Management Recruitment Full time

    Insurance Other Sydney Permanent / Full Time22nd June, 2023:This is an exceptional opportunity join a global Financial Institution in a Compliance Manager role. The organisation has 130 offices around the globe. The imprint is small they try to operate more as a mid size organisation.Key Responsibilities Lead in developing the organisations Compliance...

  • Risk and Compliance Manager

    2 weeks ago

    Sydney, Australia Compliance and Risk Management Recruitment Full time

    Banking & Finance - Treasury and/or Risk Specialist - Sydney - Permanent / Full Time **26th February, 2024**: We are working with a growing mutual bank who are currently seeking a Risk and Compliance Manager for a newly created role in their Sydney head office. Key Responsibilities: - Developing and supporting compliance and testing frameworks. - Helping...

  • Legal & Compliance Manager

    2 weeks ago

    Sydney, New South Wales, Australia Compliance and Risk Management Recruitment Full time

    Legal Lawyer Compliance Sydney Permanent / Full Time03rd February, 2023:Fast growing Australian Fintech is seeking a Legal & Compliance Manager (Head of Legal & Compliance).Key Responsibilities Manage, develop & uplift organisations Compliance framework, polices and management procedure, instilling a culture of continuous improvement. Leading reporting...

  • Head of Compliance

    2 weeks ago

    Sydney, New South Wales, Australia Sharp & Carter Full time

    Newly created role Fast paced and dynamic environment Diverse and challenging opportunityAbout Our Client:Our client who are headquartered in Melbourne are an industry leader with a vision to revolutionise trading. With a commitment to providing traders around the world with cutting-edge technology and exceptional client experiences, our client has become a...

  • Head of Compliance

    2 weeks ago

    Sydney, New South Wales, Australia UBS Full time

    Head of Compliance & Operational Risk, Asset Management AustraliaYour roleDo you have experience with all compliance and regulatory matters related to asset management? Are you an experienced asset management compliance professional in Australia?We're looking for a senior compliance professional to;- lead the Australian compliance and operational risk...

  • Head of Group Compliance

    1 week ago

    Sydney, Australia OFX Full time

    **Company Description** Hi.** We’re OFX, a global provider of online, international payment services. We solve the complexity of moving money and enable better decisions. Headquartered in Sydney with offices worldwide, we’re a customer-focused business that is all about inspiring customer confidence. At OFX, you’ll have the opportunity to reach beyond...

  • Head of Compliance

    2 weeks ago

    Sydney, New South Wales, Australia OCG Talent Full time

    Look after retail and wholesale advisory business. Permanent, Sydney or Melbourne based role. Be part of a marketleading wealth management business.Our client is a boutique wealth management organisation providing advanced research, innovation, personalised service, and tailored solutions that are focused on creating and preserving wealth to retail,...

  • Head of Group Compliance

    7 days ago

    Sydney, Australia OFX Full time

    Job DescriptionPurpose of your roleThe Head of Group Compliance is a key leadership and influencing role at OFX responsible for leading group wide compliance practices that promotes the ongoing embedding and maturity of our compliance culture across the OFX Group.  What you doManage the group wide core compliance program that ensures consistency of...

  • Head of Compliance- Australia

    7 days ago

    Sydney, Australia Xe Full time

    At Xe, we live currencies. We provide a comprehensive range of currency services and products, including our Currency Converter, Market Analysis, Currency Data API and quick, easy, secure Money Transfers for individuals and businesses. We leverage technology to deliver these services through our website, mobile app and by phone. Last year, we helped over 300...

  • Financial Crime Compliance Manager

    3 weeks ago

    Sydney, Australia Compliance and Risk Management Recruitment Full time

    Banking & Finance - Other - Sydney - Permanent / Full Time **20th March, 2023**: ASX listed Financial Institution is currently seeking a Financial Crime Compliance Manager to join its growing team. - 2nd line financial crime advisory role. - Design, implementation and monitoring of financial crime risk framework, program and policy. - Provide support and...

  • Head of Compliance

    2 weeks ago

    Sydney, New South Wales, Australia Aon Corporation Full time

    Posting Description: Unique opportunity to join the Aon Asia Pacific Law & Compliance team to lead compliance professionals to support Aon Australia and Papua New Guinea (PNG) business. You will enable growth by striving to drive compliance, train, monitor, provide assurance and manage risks within Aon Australia and PNG, liaising across the Asia Pacific...

  • Head of Legal and Compliance

    3 weeks ago

    Sydney, Australia HAYS Full time

    Head of Legal and Compliance opportunity with Global Captive -Auto Finance Company **Your new company** We have partnered with a highly successful global captive-auto finance company that has experienced tremendous growth and built a stellar reputation within the market. With a proven track record of success across multiple countries, they now have their...

  • Head of Compliance- Australia

    2 weeks ago

    Sydney, New South Wales, Australia Xe Full time

    At Xe, we live currencies. We provide a comprehensive range of currency services and products, including our Currency Converter, Market Analysis, Currency Data API and quick, easy, secure Money Transfers for individuals and businesses. We leverage technology to deliver these services through our website, mobile app and by phone. Last year, we helped over 300...

  • Head of Compliance

    2 weeks ago

    Sydney, New South Wales, Australia UBS Full time

    Australia Compliance Group FunctionsJob Reference #BRCity SydneyJob Type Full TimeYour role Do you have experience with all compliance and regulatory matters related to asset management? Are you an experienced asset management compliance professional in Australia? We're looking for a senior compliance professional to; lead the Australian compliance and...

  • Head of Enterprise Compliance

    7 days ago

    Sydney, Australia Xero Full time

    Xero is a beautiful, easy-to-use platform that helps small businesses and their accounting and bookkeeping advisors grow and thrive. At Xero, our purpose is to make life better for people in small business, their advisors, and communities around the world. This purpose sits at the centre of everything we do. We support our people to do the best work of...