Head of Compliance and Designated AML Officer
6 days ago
We are seeking a highly skilled and experienced professional to lead our compliance efforts as the Head of Compliance and Designated AML Officer. This is a critical role that requires a deep understanding of financial services regulations and a proven track record of managing complex compliance programs.
Key Responsibilities- Liaise and report to regulatory bodies, ensuring compliance with all relevant regulations and requirements.
- Advise the company's board of directors and senior management on general compliance issues, providing expert guidance on regulatory matters.
- Maintain a thorough understanding of relevant aspects of prevailing business practices and the application of regulations to our business.
- Ensure local operation and administration procedures comply with relevant regulations and are adequately documented.
- Develop and implement training programs to ensure staff are aware of local regulatory requirements and receive induction training.
- Conduct regular monitoring to ensure business and transactions are conducted in compliance with in-house rules and regulations.
- Ensure client due diligence compliance procedures are adequate and effective.
- Investigate issues of concern and address them promptly, ensuring compliance with regulatory requirements.
- Assess the company's compliance status and report periodically to senior management and the board of directors.
- Design and review internal policies and procedures related to compliance matters and controls relevant to the prevention of money laundering and terrorist financing.
- Monitor and assess the correct implementation of policies and procedures, providing guidance for corrective measures where necessary.
- Detect, record, and evaluate risks arising from existing and new customers, financial instruments, and services.
- Assist with internal and external audits, providing expert guidance on regulatory matters.
- Provide advice and guidance to employees on general compliance matters.
- Determine the need for further training and education and organize appropriate training sessions.
- Prepare and apply an annual staff training program.
- Assess the adequacy of education and training provided.
- Prepare the Annual Report of the Compliance Officer.
- Respond to requests and queries from regulatory bodies, providing all requested information.
- Bachelor's degree in a relevant field, preferably law.
- 5 years of practical experience in a similar role, with a strong working knowledge of Australian financial services regulations and requirements.
- Experience working within the Australian CFD and margin FX industry is desirable.
- Experience working overseas within a global financial institution is also desirable.
- Strong problem-solving skills, with a demonstrable track record of effectively managing complex stakeholders.
- Ability to be a self-starter and demonstrate a hands-on approach.
- Ability to confidently discuss current and past performance, professional approach, and presentable appearance at all times.
- Highly articulate communication skills, both written and oral.
- Team management and leadership experience.
- Full eligibility to work in Australia.
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