Financial Services Compliance Expert

2 weeks ago

Melbourne, Victoria, Australia beBeeCompliance Full time $120,000 - $180,000

Key Responsibilities:

  • Manage regulatory applications, maintain current licenses and regulatory relations.
  • Develop and implement compliance monitoring plans, anti-money laundering programs, know-your-customer/client onboarding, trade surveillance, and derivative transaction reporting frameworks.
  • Maintain awareness and ensure compliance with Australian regulatory frameworks and securities laws.
  • 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.
Requirements:
  • Current or previous experience in FX 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 a financial institution.

This role is ideal for a seasoned professional looking to drive compliance excellence in the financial services industry.

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