Senior Financial Services Compliance Professional

22 hours ago

Melbourne, Victoria, Australia beBeeCompliance Full time $150,000 - $180,000

About the Role:

This senior compliance position offers an experienced professional a chance to advance their career in the financial services industry.

Key Responsibilities:

  • Manage regulatory applications, maintain AFSL licences and regulatory relations
  • Lead the compliance monitoring plan, AML/CTF program, KYC/client onboarding, trade surveillance and derivative transaction reporting frameworks
  • Maintain awareness of Australian regulatory framework, securities laws and regulations
  • Review and update compliance manuals, policies, procedures and training programs to reflect latest regulatory changes
  • Identify process gaps and improvement procedures, formulate remediation action plans
  • Oversee the remediation of self-disclosed non-compliance issues, timely resolution of audit findings
  • Develop and deliver senior management and Compliance Committee reporting on regulatory changes
  • Lead and coach a team of compliance managers and analysts

Requirements:

  • Current experience in FX, CFD, OTC Derivatives trading/broking industry
  • Tertiary Degree in Law, Finance, Business Administration, Accounting or AML and Compliance related qualifications
  • Minimum 5 years of track record experience in AML and/or Regulatory Compliance function
  • Good knowledge of Corporations Act, ASIC, AFCA and AUSTRAC
  • Demonstrable knowledge of regulatory obligations for an ASIC regulated financial institution

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