Head of Compliance

6 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

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