Senior Regulatory Compliance Specialist

2 days ago

Sydney, New South Wales, Australia beBeeRiskAssessment Full time $120,000 - $150,000
Compliance Officer Job Summary

We are seeking a detail-oriented and proactive Compliance Officer with a strong focus on due diligence and third-party risk assessment.

  • The ideal candidate will play a critical role in conducting in-depth 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 thorough analysis of financials, legal documents, and regulatory filings related to acquisitions, partnerships, and investments within the CFD and broader financial services sectors.
  • Identify and evaluate compliance, financial, and third-party risks to ensure alignment with company 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.
  • Coordinate with internal teams—including Legal, Risk, Finance, and Operations—to gather information and ensure a holistic review process.
  • Ensure all due diligence activities comply with internal policies and applicable regulatory standards, particularly regarding third-party engagements.
  • Proactively improve due diligence frameworks by integrating evolving industry standards, regulatory updates, and risk management best practices.
  • Present findings and risk assessments effectively to management and relevant stakeholders, supporting informed decision-making.

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