Chief Compliance Officer

4 days ago

Melbourne, Victoria, Australia beBeeCompliance Full time $160,000 - $200,000
Senior Compliance Professional

This role offers a unique opportunity for an experienced compliance manager to advance their career in the financial services industry.

  • Manage regulatory applications, maintain current AFSL licences and regulatory relations with relevant authorities.
  • Develop and implement compliance monitoring plans, AML/CTF programs, KYC/client onboarding processes and trade surveillance frameworks.
  • Ensure awareness and adherence to Australian regulatory framework, securities laws and regulations.
  • Review and update existing compliance manuals, policies and procedures to reflect latest regulatory changes.
  • Identify process gaps and improvement procedures, formulate remediation action plans.
  • Oversee the remediation of self-disclosed non-compliance issues and timely resolution of audit findings.
  • Develop senior management reports on regulatory changes and incidents management.
  • Lead and coach a team of compliance managers and analysts.

Key Requirements:

  • Current experience in FX, CFD or OTC Derivatives trading/broking industry is essential.
  • Relevant tertiary qualifications in Law, Finance or Business Administration.
  • Minimum 5 years of track record experience in the AML and/or Regulatory Compliance function.
  • Good knowledge of the Corporations Act, ASIC and AUSTRAC requirements.
  • Demonstrable knowledge of regulatory obligations for an ASIC regulated entity.

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