Compliance Specialist, Financial Services

2 days ago

Melbourne, Victoria, Australia beBeeCompliance Full time $140,000 - $180,000
Job Overview

The role of Head of Compliance, FX is a strategic opportunity for an experienced professional to drive compliance excellence in the financial services industry.

This position will play a crucial part in ensuring the firm's Australia compliance framework and program are executed effectively, reporting directly to the company directors and leading a small team.

The successful candidate will be accountable for managing regulatory applications, maintaining current AFSL licenses, and regulatory relations.

They will also be responsible for developing and implementing compliance monitoring plans, AML/CTF programs, KYC/client onboarding, trade surveillance, and derivative transaction reporting frameworks.

A key aspect of this role is maintaining awareness and ensuring compliance with Australian regulatory frameworks, securities laws, and regulations.

The candidate will continuously review and update existing compliance manuals, policies, procedures, and training programs to reflect latest regulatory changes.

Additionally, they will proactively identify process gaps and improvement procedures, formulate remediation action plans, oversee the remediation of self-disclosed non-compliance issues, timely resolution of audit findings, and identified compliance gaps.

The successful candidate will develop and deliver senior management and Compliance Committee reporting on regulatory changes, key controls testing, and incidents management.

They will lead and coach a team of compliance managers and analysts, coordinate with offshore compliance resources when required.

Requirements
  • Current or previous experience in FX, CFD, OTC Derivatives trading/broking industry.
  • Tertiary Degree in Law, Finance, Business Administration, Accounting, or any AML and Compliance related qualifications.
  • Minimum 5 years of track record experience in the 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.
Key Responsibilities
  • Manage regulatory applications, maintain current AFSL licences, and regulatory relations.
  • Develop and 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 frameworks, securities laws, and regulations.
  • Continuously review and update existing compliance manuals, policies, procedures, and training programs to reflect latest regulatory changes.
  • Proactively identify process gaps and improvement procedures, formulate remediation action plans.
  • Oversee the 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.

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