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Compliance Expert for FX Trading

2 weeks ago

Melbourne, Victoria, Australia BeathChapman Pte Ltd Full time

Job Overview

We are seeking an experienced Compliance Expert to lead our regulatory efforts in Australia. As Head of Regulatory Affairs, you will be responsible for managing our compliance framework and program, ensuring we remain compliant with Australian regulations.

Key Responsibilities:

  • Manage regulatory applications and maintain current AFSL licences
  • Develop and implement the compliance monitoring plan, AML/CTF program, KYC/client onboarding, trade surveillance and derivative transaction reporting frameworks
  • Maintain awareness and ensure compliance with Australian regulatory framework, securities laws and regulations
  • 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

Requirements:

  • Current experience in FX, CFD, OTC Derivatives trading/broking industry is compulsory
  • Tertiary Degree (preferably 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 the Corporations Act, ASIC, AFCA and AUSTRAC and other local regulatory requirements