Group Gm Compliance

5 days ago

Sydney, Australia Sharp & Carter Full time

Fast paced and dynamic environment
- Exposure to Forex/CFD is a key requirement
- Genuine leadership opportunity

**About out Client**:
Our client who are headquartered in Melbourne are an industry leader with a vision to revolutionize 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**:
**Reporting Line**:
This position reports to the Chief of Legal, Risk & Compliance.

**Key Position Responsibilities**:

- Lead the entity’s global Compliance and Risk function, working with the team to develop and implement a robust group-wide Compliance and Risk framework and overall effective Group governance.
- Maintain and enhance a proactive group-wide Risk Management Program to identify, respond to, and manage strategic, regulatory, operational and reputational risks.
- Manage their global AML/CTF framework, risk registers, and compliance with Privacy, Data Protection, and Derivative Transaction reporting obligations.
- Oversee the Compliance Monitoring Program and control environment, ensuring continuous improvement.
- Ensure compliance with regulatory obligations, taking a commercial and practical approach to risk-based decisions.
- Drive improvements to the maturity of the Compliance and Risk culture within the business.
- Review and maintain group-wide Compliance and Risk Management policies.
- Report, escalate, and resolve group-wide Compliance incidents, breaches and risk events.
- Interact with global AML and Privacy regulators, coordinating responses to consultations and addressing regulatory inquiries.
- Keep up to date with key legislation and manage the implementation of regulatory change.
- Implement policies, processes, and controls to support regulatory change and risk management strategies.
- Advise the Group Board and Executive Team on local and international regulatory compliance obligations and issues.
- Manage global Compliance and Risk resources to maximize effectiveness and achieve organizational goals.
- Member and active participate in Group Committees, such as the Enterprise Risk Committee, Client Risk Oversight Committee and Data Governance.

**About you**:

- 10+ years' experience in compliance and enterprise risk roles in financial services or other heavily regulated industries.
- Experience in the retail OTC derivatives industry and/or AFSL compliance highly regarded.
- CFD & Forex industry experience is a strong preference
- Familiarity with AML/CTF, Privacy, Data Protection and Transaction Reporting regulations.
- Knowledge of global financial services and AML/CTF regulatory frameworks desirable.
- Relevant tertiary qualification (Business/Commerce/Finance/Law).
- Qualifications or accreditations in Risk, Compliance, Legal, or Internal Audit.
- Experience with uplifting governance and GRC system knowledge desirable.
- Exceptional written and verbal communication and presentation skills.
- Highly developed stakeholder management skills.
- Sound decision-making and critical thinking skills.
- Ability to form and execute strategic plans.
- Negotiation and influencing skills, building relationships at all levels.
- Leadership in cultural change and the ability to take others on the compliance journey.
- Commercially focused, flexible, resourceful and hands-on approach.
- Demonstrated ability to develop and lead high-performing teams.
- Ability to work in a fast-paced environment and deliver timely outcomes amidst competing priorities.
- Experience managing budgets effectively.
- Availability across time zones on an ad hoc basis.
- Ability to travel internationally ad hoc if required.
- Champion their values across the team and the Group.

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