Compliance Officer
2 months ago
Support the compliance program for Moomoo AU, ensuring adherence to relevant regulatory registrations and licensing requirements specific to the securities industry.
- Assist in providing guidance on AML/CTF and Sanctions regulatory requirements to support the Money Laundering Reporting Officer (MLRO).
- Participate in AML investigations and assist in the timely submission of Suspicious Matter Reports (SMRs) to AUSTRAC.
- Conduct enhanced due diligence reviews on high-risk customer relationships to ensure compliance with regulatory standards.
- Assist in resolving fraud and scam investigations, ensuring thorough tracking and reporting.
- Help investigate, track, and provide recommendations on customer complaints, compliance incidents, and potential breaches, including those lodged through IDR and EDR processes.
- Contribute to the development and implementation of compliance training to employees, including educational resources to promote a culture of compliance within the organization.
- Help maintain and review compliance policies, procedures, and reporting mechanisms to ensure regulatory requirements are met. Assist in reviewing and updating existing compliance frameworks.
- Support the compliance monitoring program by identifying potential risks and helping implement appropriate compliance controls.
- Monitor changes in laws, regulations, and standards and provide reports on their impact on the compliance program and business operations.
- Provide compliance support to product, software, and other front and back office teams to ensure alignment with regulatory requirements.
**Requirements**:
- Tertiary degree in Finance, Law or other business-related disciplines
- Minimum 2+ years compliance experience, preferably within banking, financial services or fintech environments
- Knowledge of relevant rules and regulations of ASIC and AUSTRAC
- Understanding of the role of compliance function in a financial services business
- Experience in one or more of the following areas/topics in compliance: regulatory compliance, ASIC licensing requirements, marketing and promotional materials, financial advice compliance, complaints, AML/CTF/FCC, stockbroking.
-
Junior Compliance Consultant
4 months ago
North Sydney, Australia VET Quality and Compliance Full time**Position Description** **Company Name**: VET Quality and Compliance **Job Title**: Junior Compliance Consultant **Job Industry**: Vocational Education and Training **Employment Type**: Contract/Part-Time/Casual **Job Location**:100 Walker St, North Sydney, NSW, 2060. **Summary**: This job would be suitable for a university student. **Key...
-
Compliance Officer
7 months ago
Sydney, Australia The Star Entertainment Group Full time**Compliance Officer** - **Our compliance team is growing at The Star!** We are looking for Compliance Officers to join our team in Sydney!
-
Compliance Officer
5 months ago
Sydney, Australia Hannover Re Full timeCompliance Officer **Compliance Officer** **Department**:Risk & Compliance **Employment Type**:Contract / Temp **Location**:Sydney **Reporting To**:Chief Risk and Compliance Officer **Description** **We are somewhat different** Hannover Re was founded as an in-house reinsurer and started small, a new kid on the block, proving ourselves every day for...
-
Compliance Officer
4 weeks ago
Sydney, New South Wales, Australia Independent Reserve Full timeCompliance Officer RoleWe are seeking a highly skilled and detail-oriented Compliance Officer to join our team at Independent Reserve in Sydney.In this critical role, you will be responsible for supporting the Compliance Manager and Chief Risk Officer to ensure that our company adheres to legal standards and internal policies.Key Responsibilities:Conduct...
-
Compliance Officer
1 month ago
Sydney, New South Wales, Australia Independent Reserve Full timeCompliance Officer RoleWe are seeking a highly skilled and detail-oriented Compliance Officer to join our team at Independent Reserve in Sydney.In this critical role, you will be responsible for supporting the Compliance Manager and Chief Risk Officer to ensure that our company adheres to legal standards and internal policies.Key Responsibilities:Conduct...
-
Compliance Officer
1 month ago
Sydney, New South Wales, Australia Independent Reserve Full timeCompliance Officer RoleWe are seeking a highly skilled and detail-oriented Compliance Officer to join our team at Independent Reserve in Sydney.In this critical role, you will be responsible for supporting the Compliance Manager and Chief Risk Officer to ensure that our company adheres to legal standards and internal policies.Key Responsibilities:Conduct...
-
Compliance Officer
4 months ago
Sydney, Australia Independent Reserve Full timeCompliance Officer We are seeking a professional and detail-oriented Compliance Officer to join our dynamic team in Sydney. In this crucial role, you will be responsible for supporting the Compliance Manager and CRO to ensure that our company adheres to legal standards and in-house policies. Your key responsibilities will include: - Conducting thorough...
-
Compliance Officer
3 weeks ago
Sydney, New South Wales, Australia Real Time Full timeCompliance Officer RoleWe are seeking a highly skilled Compliance Officer to join our team and lead APAC operations. As a key member of our organization, you will play a pivotal role in ensuring our adherence to all applicable laws, regulations, and ethical standards.Key Responsibilities:Monitor compliance activities, conduct audits, and investigate...
-
Compliance Officer
3 weeks ago
Sydney, New South Wales, Australia Real Time Full timeCompliance Officer RoleWe are seeking a highly skilled Compliance Officer to join our team and lead APAC operations. As a key member of our organization, you will play a pivotal role in ensuring our adherence to all applicable laws, regulations, and ethical standards.Key ResponsibilitiesMonitor compliance activities, conduct audits, and investigate potential...
-
Compliance Officer
4 months ago
Sydney, Australia Independent Reserve Full timeWe are seeking a professional and detail-oriented Compliance Officer to join our dynamic team in Sydney. In this crucial role, you will be responsible for supporting the Compliance Manager and CRO to ensure that our company adheres to legal standards and in-house policies.Your key responsibilities will include:Conducting thorough internal control reviews of...
-
Compliance Officer
4 weeks ago
Sydney, New South Wales, Australia Real Time Full timeCompliance Officer RoleWe are seeking a highly skilled Compliance Officer to join our team and lead APAC operations. As a key member of our organization, you will play a pivotal role in ensuring our adherence to all applicable laws, regulations, and ethical standards.Key ResponsibilitiesMonitor compliance activities, conduct audits, and investigate potential...
-
Compliance Officer
3 weeks ago
Sydney, New South Wales, Australia Real Time Full timeCompliance Officer RoleWe are seeking a highly skilled Compliance Officer to join our team in APAC operations. As a key member of our organization, you will play a pivotal role in ensuring our adherence to all applicable laws, regulations, and ethical standards.Key Responsibilities:Monitor compliance activities, conduct audits, and investigate potential...
-
Compliance Officer
2 weeks ago
Sydney, New South Wales, Australia Real Time Full timeCompliance Officer RoleWe are seeking a highly skilled Compliance Officer to join our team and lead APAC operations. As a key member of our organization, you will play a pivotal role in ensuring our adherence to all applicable laws, regulations, and ethical standards.Key Responsibilities:Monitor compliance activities, conduct audits, and investigate...
-
Compliance Officer
4 weeks ago
Sydney, New South Wales, Australia Real Time Full timeCompliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team and lead APAC operations. As a key member of our organization, you will play a pivotal role in ensuring our adherence to all applicable laws, regulations, and ethical standards.Key Responsibilities:Monitor compliance activities, conduct audits, and...
-
Compliance Officer
1 month ago
Sydney, New South Wales, Australia Independent Reserve Full timeAbout the RoleWe are seeking a highly skilled Compliance Officer to support our dynamic team in Sydney. As a key member of our Independent Reserve Group, you will play a crucial role in ensuring our company adheres to legal standards and in-house policies.Key ResponsibilitiesConduct thorough internal control reviews of our Australian and Singapore operations...
-
Compliance Officer
1 week ago
Sydney, New South Wales, Australia TR3 Recruitment Full timeJob SummaryWe are seeking a highly skilled Compliance Officer to join our team at TR3 Recruitment. As a Compliance Officer, you will be responsible for ensuring that our client's not-for-profit organisation adheres to regulatory standards and maintains high standards of compliance and governance.Key ResponsibilitiesWork collaboratively with the...
-
Compliance Officer
2 months ago
Sydney, Australia Hudson Australia Full timeHudson has partnered with a large Federal Government agency and is seeking for Compliance Officers with strong auditing, investigative and customer service skills. **About the Team**: The Levies Compliance team manages an annual risk-based compliance program aimed at encouraging levy payers to voluntarily meet legislative requirements. This program ensures...
-
Compliance Officer
2 weeks ago
Sydney, Australia TMGM Full timeTMGM stands at the forefront of online trading and investment services, proudly serving as Chelsea FC's Official Regional Online Forex and Trading Partner in Asia Pacific. With a global presence and offices spanning three continents, TMGM has earned its reputation as a trusted CFD trading provider. We embody excellence through a commitment to regulatory...
-
Compliance Officer
5 months ago
Sydney, Australia Charterhouse Full time**$70,000-$80,000 Salary Plus Super**: - **CBD Location**: - **Well known reputable company**: - **Hybrid flexibility** **Position Overview**: Join a national leading Law Firm as a compliance officer. The Firm consistently prides itself on ensuring positive and successful partnerships for both clients and employees. They are driven by success and...
-
Compliance Officer
5 months ago
Sydney, Australia Charterhouse Full time**$70,000-$80,000 Salary Plus Super**: - **CBD Location**: - **Well known reputable company** **Position Overview**: Join a national leading Law Firm as a compliance officer. The Firm consistently prides itself on ensuring positive and successful partnerships for both clients and employees. They are driven by success and encourage a collaborative and...