Head of Compliance

5 months 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 ANZ

    4 weeks ago

    Sydney, New South Wales, Australia Assurant Full time

    Why Work at Assurant? Assurant is a global leader in the insurance industry, and we're seeking a highly skilled Head of Compliance ANZ to join our team. As a Head of Compliance ANZ, you will be responsible for ensuring that our business operations in Australia and New Zealand comply with all relevant regulatory requirements and industry standards. Key...

  • Head of Group Compliance

    5 months 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 ANZ

    4 weeks ago

    Sydney, New South Wales, Australia Assurant Full time

    About the RoleThe Head of Compliance ANZ is responsible for implementing, managing, and overseeing the Australia and New Zealand business to ensure compliance with local regulatory requirements and Assurant Corporate Compliance programs.Key ResponsibilitiesWork with the Head of Compliance APAC to manage effective relationships with regulators such as APRA,...

  • Head of Compliance ANZ

    4 weeks ago

    Sydney, New South Wales, Australia Assurant Full time

    About the RoleThe Head of Compliance ANZ is responsible for ensuring that the Australia and New Zealand businesses comply with all local regulatory requirements and Assurant Corporate Compliance programs.Key ResponsibilitiesWork with the Head of Compliance APAC in managing effective relationships with regulators such as APRA, ASIC, RBNZ, FMA & ACCC.Manage...

  • Head of Compliance- Australia

    5 months 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...

  • Head of Legal and Compliance

    6 months 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 Enterprise Compliance

    5 months 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...

  • Head of Privacy and Compliance Risk Enablement

    1 week ago

    Sydney, New South Wales, Australia Commonwealth Bank of Australia Full time

    About UsThe Commonwealth Bank of Australia is a leading financial institution dedicated to delivering exceptional customer service through world-class process excellence and technology innovation.Job DescriptionWe are seeking a highly skilled Head of Privacy and Compliance Risk Enablement to join our Technology CCO team. As a key member of our organization,...

  • Head of Risk and Compliance

    3 months ago

    Sydney, Australia ClearView Wealth Full time

    Head of Risk and Compliance As the Head of Risk and Compliance, you will be at the forefront of safeguarding our organisation by ensuring robust governance and adherence to regulatory requirements. You will be responsible for continuing to shape and support implementation of our Risk and Compliance strategy, leading a team of skilled professionals, and...

  • Head of Compliance ANZ

    4 weeks ago

    Sydney, New South Wales, Australia Assurant Full time

    About This RoleThe Head of Compliance ANZ is a critical leadership position responsible for developing and implementing a compliance strategy that aligns with Assurant's Corporate Compliance Program. This role requires a strong understanding of local regulatory requirements and the ability to manage effective relationships with regulators, industry bodies,...

  • Head of Legal

    5 months ago

    Sydney, Australia Sharp & Carter Full time

    Relocation to Melbourne will be required - Market leader within its space - Exceptionally well regarded leadership team **About our Client**: Our client is a highly regarded biopharmaceutical entity which is listed on the NASDAQ and which continues to go from strength to strength. **About the role**: The Head of Legal & Compliance role is responsible for...

  • Head of Assurance and Compliance

    4 weeks ago

    Sydney, New South Wales, Australia Dental Corporation Full time

    About the RoleThe Head of Assurance, Reporting, and Compliance will be responsible for ensuring that BVAC Australia operates in compliance with relevant laws, regulations, and internal policies. This role will oversee and manage BVAC AU's assurance, reporting, and compliance requirements, providing insightful reporting and recommendations to stakeholders.Key...

  • Head of Business Risk and Compliance

    3 weeks ago

    Sydney, New South Wales, Australia HSBC Full time

    Job DescriptionAt HSBC, we're committed to creating a better world for our customers, people, investors, and communities. We're looking for a talented individual to join our team as Head of Business Risk, Compliance and Assurance.About the RoleWe're seeking an experienced professional to lead our Business Risk, Compliance, and Assurance function. As Head of...

  • Head of Regional Risk and Compliance Expert

    3 weeks ago

    Sydney, New South Wales, Australia Google Full time

    About Google CloudAt Google Cloud, we empower businesses and industries to digitally transform and grow. Our enterprise-grade solutions leverage cutting-edge technology to help developers build more sustainably. We strive for a world where technology and people thrive, and we're committed to building reconciliation through our technology, platforms, and...

  • AI-Powered Echocardiography Solutions Developer

    3 days ago

    Sydney, New South Wales, Australia Link Compliance Full time

    We are seeking a talented Software Engineer to join our team at Link Compliance in Denmark, offering a competitive salary of $85,000 - $110,000 per year. As a key member of our engineering team, you will play a vital role in designing, developing, testing, deploying, maintaining, and improving our AI-powered echocardiography solutions.The ideal candidate...

  • Head of Financial Markets

    2 months ago

    Sydney, Australia Westpac Banking Corporation Full time

    Head of Financial Markets & Treasury Compliance - **Opportunity to join Westpac's Institutional Bank or continue your career in the Group**: - **Established career path and progression opportunities**: - **Sydney Based** **How will I Help?** The Head of Financial Markets & Treasury Compliance will be responsible for providing dedicated compliance support...

  • Head of Compliance

    5 months ago

    Sydney, Australia OCG Talent Full time

    Look after retail and wholesale advisory business. - Permanent, Sydney or Melbourne based role. - Be part of a market-leading 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 Apac Compliance

    6 months 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 Risk and Compliance

    3 months ago

    Sydney, Australia ClearView Full time

    As the Head of Risk and Compliance, you will be at the forefront of safeguarding our organisation by ensuring robust governance and adherence to regulatory requirements. You will be responsible for continuing to shape and support implementation of our Risk and Compliance strategy, leading a team of skilled professionals, and providing strategic guidance to...

  • Head of Compliance, Apac

    6 months ago

    Sydney, Australia Remitly Full time

    Job Description: Remitly’s vision is to transform lives with trusted financial services that transcend borders. Since 2011, we have been tirelessly delivering on our promises to people who send money around the world. Today, we are reimagining global financial services and building products that extend beyond traditional barriers to give customers access...