
Compliance Manager
2 weeks ago
**Company Overview**:
Established for more than 15 years, we are a global finance trading platform based in Sydney, Australia with over 130+ employees with a strong online presence. Continually improving our product and services, we are considered one the of main competitors within our industry. As an agile company that values growth and development, we foster a collaborative culture.
**Company Values**:
- Responsible Governance and Practices
- Transparency and Trust
- Inspiring Confidence
- Commitment to Customer Service
Due to ongoing growth and expansion, we are looking for an experienced Senior Compliance Officer to join our Compliance team. You will be a detail-oriented individual with complaints handling experience, regulatory compliance, compliance and risk management activities.
**Tasks and Responsibilities**
- Prepare and review regulatory and corporate documents, ensuring regulatory obligations are met;
- Manage local and offshore compliance and regulatory matters;
- Maintain sufficient policies, procedures, systems and controls to identify, mitigate, prevent and manage regulatory risk;
- Responsible for the reviewing financial services guide (FSG), Product Disclosure Statements (PDS) and other
- various marketing materials from a regulatory compliance perspective
- Assist with the review and management of incident and breach reporting;
- Manage the complaints handling process - internal and external dispute resolution process;
- Managing the review and implementation of the compliance framework;
- Supervising ongoing compliance monitoring and operational checks;
- Managing projects and improvement initiatives;
- Keep abreast of regulatory changes and ensure the relevant business units are fully informed;
- Assist and manage new and existing licensing requirements;
- Schedule and deliver compliance training to all business units; and
- Prepare compliance reports for senior management and external regulatory bodies.
**Key Requirements**
- Ideally, you will be available immediately;
- 3-5 years of experience in a compliance role, ideally at a FX/CFD provider or stockbroker;
- Experience managing direct reports, is highly regarded;
- Strong complaints handling skills, is highly regarded;
- Strong policy and documentation writing skills, is highly regarded;
- Experience with incident and breach reporting, is highly regarded;
- Strong analytical skills to convert information/data into meaningful management information;
- Sound knowledge of risk management and compliance disciplines;
- Proven ability to perform in a high-performing team;
- Ability to focus and drive change effectively;
- You will enjoy taking ownership of your work and being held accountable; and
Excellent verbal and written English communication skills are a must.
**Job Types**: Full-time, Permanent
**Salary**: $110,000.00 - $130,000.00 per year
Schedule:
- 8 hour shift
- Day shift
- Monday to Friday
Ability to commute/relocate:
- Sydney, NSW 2000: Reliably commute or planning to relocate before starting work (required)
Application Question(s):
- What is your expected annual base salary?
**Experience**:
- Compliance: 2 years (required)
Work Authorisation:
- Australia (required)
Work Location: In person
-
Junior Compliance Consultant
2 weeks ago
North Sydney, Australia VET Quality and Compliance Full time**Position Description** **Company Name**: VET Quality and Compliance **Job Title**: Junior Compliance Consultant **Job Industry**: Vocational Education and Training **Employment Type**: Contract/Part-Time/Casual **Job Location**:100 Walker St, North Sydney, NSW, 2060. **Summary**: This job would be suitable for a university student. **Key...
-
Junior Compliance Consultant
2 weeks ago
North Sydney, Australia VET Quality and Compliance Full time**Position Description** **Company Name**: VET Quality and Compliance **Job Title**: Junior Compliance Consultant **Job Industry**: Vocational Education and Training **Employment Type**: Contract/Part-Time/Casual **Job Location**:100 Walker St, North Sydney, NSW, 2060. **Summary**: This job would be suitable for a university student. **Key...
-
Compliance Manager
2 days ago
Sydney, New South Wales, Australia beBeeCompliance Full time $200,000 - $270,000Compliance Leadership RoleThe Compliance Manager will lead the implementation of a new compliance function in a diverse organization that bridges financial services and healthcare.Compliance Framework: Oversee the development and maintenance of compliance frameworks, policies, and systems to ensure effective compliance management.Regulatory Change...
-
Compliance Manager
2 weeks ago
Sydney, Australia Anton Murray Consulting Full timeSydney- Ancillary Areas- PermanentOur client is a leading retail broker seeking a Compliance Manager to manage their compliance function in their Sydney office - this role will ideally be hired on a part time basis for 3 or 4 days a week. However they are open to hiring someone full time. **Responsibilities** - Ensure the business activities comply with AFS...
-
Compliance Manager
2 weeks ago
Sydney, New South Wales, Australia Award Global Full time1 day ago Be among the first 25 applicantsThis range is provided by Award Global. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.Base pay rangeA$110,000.00/yr - A$130,000.00/yrAbout Award MortgageAt Award Mortgage, we pride ourselves on offering tailored lending solutions that meet the unique needs of...
-
Compliance Manager
2 weeks ago
Sydney, Australia Allianz Australia Full time**Compliance Manager | Location - Sydney, Melbourne, Brisbane. We’re open to all locations across Australia.** This is a Line 1 role to assist in supporting the implementation, execution and monitoring of the risk and compliance management framework and the regulatory and compliance change agenda. **You’ll be responsible for**: - Establishing strong...
-
Compliance Manager
2 weeks ago
Sydney, Australia Rabobank Full timeRabobank is the world’s leading specialist in food and agribusiness banking. One of our key strengths lies in our people who have a deep understanding of agriculture and are committed to adding long-term value for clients. Our commitment to our employees and clients is at the heart of everything we do. Our culture is focused on growing each other. We...
-
Compliance Manager
1 day ago
Sydney, Australia Perigon Group Full timeHybrid / WFH environment - Great salary, bonus and benefits - CBD location An excellent opportunity for an experienced Compliance Manager to join a prestigious Financial Services group. This is a unique Compliance Manager career opportunity to join a reputable & well established financial services firm. The company specialise within Wealth Management,...
-
Manager, Compliance
6 days ago
Sydney, Australia CFS Full timeManager, Compliance Are you ready to be part of an organisation that values expertise, passion and diversity? At CFS we know that the foundation of our success lies in our exceptional people. We believe in celebrating individuality, have a passion for high performance and creating an environment where you can unleash your full potential. Our people enable...
-
Manager, Compliance
6 days ago
Sydney, Australia CFS Full timeAre you ready to be part of an organisation that values expertise, passion and diversity? At CFS we know that the foundation of our success lies in our exceptional people. We believe in celebrating individuality, have a passion for high performance and creating an environment where you can unleash your full potential. Our people enable us to make a...