Compliance and Onboarding Specialist

2 weeks ago

Sydney, New South Wales, Australia CMC Markets Stockbroking Limited Full time

CMC Markets Stockbroking Limited is a global leader in CFD trading and share investing, providing the ultimate online trading experience for everyone to achieve their financial potential. Our vision is to provide innovative and accessible investment solutions, while ensuring compliance with regulatory requirements.

The APAC Operations team is responsible for the end-to-end operational functions covering the APAC Invest & CFD businesses, with staff based in Sydney & Singapore. The APAC Onboarding & Maintenance team has the responsibility for the processing and continual transformation of customer onboarding & maintenance, compliance program implementation, KYC and AML, periodic partner and regulatory reporting amongst other duties.

About the Role:

This role is focused on timely and accurate processing of non STP new accounts and account maintenance for the CMC Invest businesses, ensuring that every account is compliant with CMC's Onboarding and AML/KYC policies and procedures.

Key Responsibilities:
  • Responsible for reviewing non STP applications to ensure all aspects are completed and accurate, including ownership for the new client account opening process.
  • Ensure all account documentation meets regulatory requirements, including KYC, AML and appropriateness and sanctions check.
  • Update all new client details in all relevant systems (back office, online trading platform) accurately and efficiently.
  • Share relevant information regarding client's request with internal stakeholders in a timely manner.
  • Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training.
Requirements:
  • Scrupulous attention to detail and ability to work autonomously.
  • Experience of working in an administrative role, ideally within financial services.
  • Excellent verbal and written communication skills, with ability to work effectively as part of a team.
  • Ability to handle large volumes of processing to ensure that service levels are met.
  • Bachelor's degree or equivalent experience required.
What We Offer:
  • A competitive salary of $80,000 - $90,000 per annum, depending on experience.
  • An additional day of annual leave after each year of service (max 25 days of annual leave after 5 years of service).
  • Charity give-back days, social club, Women@CMC, LinkedIn Learning, and more.
  • A dynamic and inclusive workplace culture, where diversity and individuality are valued.

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