Compliance Risk Specialist

2 weeks ago

Sydney, New South Wales, Australia beBeeCompliance Full time $160,000 - $190,000

Job Title: Compliance Risk Specialist

About the Role

We are seeking a detail-oriented and proactive individual to join our compliance team as a Compliance Risk Specialist. This role plays a critical part in conducting thorough due diligence and assessing compliance, reputational, and financial risks associated with vendors, clients, and counterparties within the CFD and broader financial trading industry.

Main Responsibilities

  • Conduct in-depth analysis of financials, legal documents, and regulatory filings related to acquisitions, partnerships, and investments within the CFD and broader financial services sectors.
  • Evaluate compliance, financial, and third-party risks to ensure alignment with the company's risk tolerance and regulatory obligations.
  • Monitor and assess vendor and partner relationships for reputational, operational, and regulatory risks, ensuring continued adherence to contractual and compliance requirements.
  • Track and interpret regulatory developments in financial markets to inform due diligence strategies and ensure ongoing compliance.
  • Prepare clear, actionable due diligence reports that highlight key findings, risk factors, and recommended mitigations for senior decision-makers.
  • Cross-Functional Collaboration: Coordinate with internal teams including Legal, Risk, Finance, and Operations to gather information and ensure a holistic review process.
  • Policy Compliance: Ensure all due diligence activities comply with internal policies and applicable regulatory standards, particularly regarding third-party engagements.
  • Process Enhancement: Proactively improve due diligence frameworks by integrating evolving industry standards, regulatory updates, and risk management best practices.
  • Stakeholder Communication: Present findings and risk assessments effectively to management and relevant stakeholders, supporting informed decision-making.
  • Ad-Hoc Support: Perform compliance-related tasks as required, with a focus on due diligence and regulatory risk management.

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