Compliance Leader for Financial Services

3 weeks ago

Melbourne, Victoria, Australia Sharp And Carter Full time

Job Overview

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The Compliance Leader for Financial Services will lead the Australian Compliance team, ensuring the compliance management framework is well-developed and effectively mitigates regulatory risk.

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About Sharp And Carter

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We are a prominent player in online Forex and CFD trading, committed to providing traders with cutting-edge technology and exceptional client experiences.

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Key Responsibilities

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  1. ">
  2. Develop and deliver on the strategy for the Australian Compliance function">
  3. Maintain and enhance the Compliance Management Framework to ensure an integrated, strategic, and consistent approach to managing compliance obligations">
  4. Ensure the effective and timely delivery of compliance activities">
  5. Provide informative compliance advice in a timely manner to our management and staff, as well as ensuring an appropriate and timely two-way flow of information between Compliance and the business">
  6. Work with the Regional Head of Compliance to identify, assess, and mitigate the impact of current and future legislative and regulatory requirements">
  7. Manage regulatory communications and engage with stakeholders such as the wider Legal, Compliance & Risk team in consideration of responses">
  8. Develop and enhance the Compliance Monitoring Program, inclusive of routine compliance monitoring of key regulatory obligations and business processes, as well as rolling Business Reviews, reporting on identified issues or weaknesses, and following through to ensure implementation of agreed action points">
  9. Prepare and develop accurate and meaningful management information for compliance reports delivered to the entity's Board and Compliance Committee">
  10. Ensure there are adequate, updated, and sufficiently detailed compliance and regulatory policies and procedures in place for the entity and its employees">
  11. If required, act as the MLRO or assist the designated MLRO to ensure compliance with regulatory requirements in Anti-Money Laundering, the prevention of Financial Crime and Fraud, Anti-Bribery and Corruption, and sanction issues, including reporting unusual and suspicious activity">
  12. Ensure completion of designated regulatory reporting obligations">
  13. Complete assessments of compliance incidents and breaches, investigations, and reporting">
  14. Assist with the content and management of regulatory disclosure and legal documents">
  15. Manage and coordinate compliance education and provide training sessions as required">
  16. Keep current with new or changing legislative requirements">
  17. Complete all mandatory training as required to attain and maintain competence">
  18. Lead, manage, and develop team members">
  19. Assist with audits and work with internal and external consultants and advisors as required">
  20. Collaborate with the wider Compliance team in our international offices to implement shared initiatives">
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About You

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We are seeking a candidate with:

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  • A relevant tertiary degree or equivalent proven experience">
  • Minimum 8 years regulatory compliance experience within Financial Services">
  • Excellent knowledge of key Australian financial services legislation, with solid knowledge of AML/CTF and Privacy/Data Protection">
  • CFD & Forex industry experience a distinct advantage">
  • An ability to interpret regulatory policy and establish solutions for its implementation and fast adoption">
  • Demonstrated experience in developing, implementing, and managing compliance and AML/CTF frameworks and control environments">
  • Demonstrated people leadership experience in a financial services regulatory role with a proven ability to lead, coach, and mentor">
  • Strong business acumen with the ability to balance risk appetite with commercial objectives">
  • Demonstrated ability to effectively plan, prioritize, and manage resources">
  • Strong organizational and time management skills and ability to manage changing deadlines">
  • Able to work autonomously, problem solve, and drive outcomes">
  • An analytical mind and excellent problem-solving skills">
  • Aptitude to work in a fast-paced and dynamic environment and across various time zones">
  • Exceptional verbal and written communication, including presentation skills">
  • Demonstrated ability to build and maintain stakeholder relationships">
  • Excellent interpersonal and influencing skills with a strong presence">
  • A highly motivated, flexible, positive people person with a strong drive to succeed">
  • Proficient in using a range of technologies and ability to adapt to using new technologies and systems">
  • Highly regarded: Experience working across geographies and time zones">
  • Regulatory knowledge or experience in other jurisdictions">
  • ICA, CISI, ACAMS, or other GRC or AML qualifications">
  • Previous designation as AML/CTF Compliance Officer/MLRO">
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Salary Range: AU$150,000 - AU$200,000 per annum, depending on experience and qualifications

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Location: Melbourne, Australia (hybrid working arrangement available)

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To Apply: Please click on the link below

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