Compliance Specialist
6 days ago
As a Compliance Specialist, you will play a vital role in ensuring our organization's adherence to regulatory requirements and standards specific to the securities industry.
Main Responsibilities:
- Provide guidance on Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) regulatory requirements to support AML investigations.
- Participate in enhanced due diligence reviews on high-risk customer relationships to ensure compliance with regulatory standards.
- Assist in resolving fraud and scam investigations, ensuring thorough tracking and reporting of suspicious activities.
- Contribute to the development and implementation of compliance training programs for employees, promoting a culture of compliance within the organization.
- Monitor changes in laws, regulations, and standards and provide reports on their impact on our business operations.
Requirements:
- Tertiary degree in Finance, Law or other related disciplines
- Minimum 2+ years experience in compliance, preferably within banking, financial services or fintech environments
- Knowledge of relevant rules and regulations, including ASIC and AUSTRAC
- Understanding of the role of compliance in a financial services business
- Experience in one or more areas/topics in compliance: regulatory compliance, marketing and promotional materials, complaints, AML/CTF/FCC
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