Compliance Manager

4 months ago

Sydney, Australia International Capital Markets Pty Ltd Full time

**Company Overview**:
Established for more than 15 years, we are a global finance trading platform based in Sydney, Australia with over 130+ employees with a strong online presence. Continually improving our product and services, we are considered one the of main competitors within our industry. As an agile company that values growth and development, we foster a collaborative culture.

**Company Values**:

- Responsible Governance and Practices
- Transparency and Trust
- Inspiring Confidence
- Commitment to Customer Service

Due to ongoing growth and expansion, we are looking for an experienced Senior Compliance Officer to join our Compliance team. You will be a detail-oriented individual with complaints handling experience, regulatory compliance, compliance and risk management activities.

**Tasks and Responsibilities**
- Prepare and review regulatory and corporate documents, ensuring regulatory obligations are met;
- Manage local and offshore compliance and regulatory matters;
- Maintain sufficient policies, procedures, systems and controls to identify, mitigate, prevent and manage regulatory risk;
- Responsible for the reviewing financial services guide (FSG), Product Disclosure Statements (PDS) and other
- various marketing materials from a regulatory compliance perspective
- Assist with the review and management of incident and breach reporting;
- Manage the complaints handling process - internal and external dispute resolution process;
- Managing the review and implementation of the compliance framework;
- Supervising ongoing compliance monitoring and operational checks;
- Managing projects and improvement initiatives;
- Keep abreast of regulatory changes and ensure the relevant business units are fully informed;
- Assist and manage new and existing licensing requirements;
- Schedule and deliver compliance training to all business units; and
- Prepare compliance reports for senior management and external regulatory bodies.

**Key Requirements**
- Ideally, you will be available immediately;
- 3-5 years of experience in a compliance role, ideally at a FX/CFD provider or stockbroker;
- Experience managing direct reports, is highly regarded;
- Strong complaints handling skills, is highly regarded;
- Strong policy and documentation writing skills, is highly regarded;
- Experience with incident and breach reporting, is highly regarded;
- Strong analytical skills to convert information/data into meaningful management information;
- Sound knowledge of risk management and compliance disciplines;
- Proven ability to perform in a high-performing team;
- Ability to focus and drive change effectively;
- You will enjoy taking ownership of your work and being held accountable; and

Excellent verbal and written English communication skills are a must.

**Job Types**: Full-time, Permanent

**Salary**: $110,000.00 - $130,000.00 per year

Schedule:

- 8 hour shift
- Day shift
- Monday to Friday

Ability to commute/relocate:

- Sydney, NSW 2000: Reliably commute or planning to relocate before starting work (required)

Application Question(s):

- What is your expected annual base salary?

**Experience**:

- Compliance: 2 years (required)

Work Authorisation:

- Australia (required)

Work Location: In person

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