FX Compliance Leader

2 weeks ago

Melbourne, Victoria, Australia beBeeCompliance Full time $150,000 - $250,000

About This Role

This exciting opportunity offers a unique chance for an experienced compliance professional to take on a key leadership position and drive the development of our compliance framework.

You will be accountable for implementing and refining our Australia compliance program, reporting directly into company directors and leading a small team.

  • Manage regulatory applications, maintain current AFSL licences and regulatory relations with authorities
  • Implement compliance monitoring plans, AML/CTF programs, KYC/client onboarding, trade surveillance and derivative transaction reporting frameworks
  • Maintain awareness and ensure compliance with Australian regulatory framework, securities laws and regulations including APAC and EU laws
  • 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 remediation of self-disclosed non-compliance issues, timely resolution of audit findings and identified compliance gaps
  • Develop and deliver senior management and Compliance Committee reporting on regulatory changes, key controls testing and incidents management
  • Lead and coach a team of compliance managers and analysts
  • Coordinate with offshore compliance resources when required

About You

  • You must have current or previous 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 and other local regulatory requirements
  • Demonstrable knowledge of regulatory obligations for an ASIC regulated financial institution
  • Previous experience leading and coaching a small team is ideal

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