Compliance Associate

2 weeks ago

Melbourne, Australia FXCM Australia Pty., Ltd. Full time

**Principal Duties & Responsibilities **including but not limited to:

- Strengthen, optimize and develop our Compliance team in [HK/AU] office, supporting global business
- Assist in tracking global regulatory development and coordinate with global compliance team in maintaining the global compliance program
- Correspond with internal and external customers on compliance issues, such as Client Complaints, Trade Audits and examinations
- Review and assess compliance incidents and breaches and provide timely escalations to Management, where necessary
- Coordinate with Global Compliance Department & monitor standard business activities, functions and practices to ensure compliance with regulations and policies
- Provide assistance on ad-hoc investigations in order to get background information to provide advice and recommendations
- Establishing and developing appropriate and effective internal compliance policies and procedures on any new regulatory requirements and business activities or products
- Comply, monitor and audit all statutory & relevant regulatory authorities’ requirements.
- Identify key compliance risks and weaknesses and recommend enhanced procedures to improve operational efficiency and control
- Support the overall team function, including special projects, as assigned

**Additional Responsibilities** obligatory for all employees regardless of role:

- Adhere to the FCA's Conduct Rules. (For SMF, Certification & Conduct)
- Adhere to all company policies and procedures.
- Ensure good customer outcomes are achieved particularly where the interests of the Company conflict with those of customers.
- Attend all annual mandatory compliance/regulatory training including but not limited to Conduct Risk and Treating Customers Fairly.
- Complete all assigned mandatory training.

**Critical Knowledge, Skills & Experience **Job Holder should have:

- Degree in Commerce, Law, Audit or related disciplines.
- Qualification and skills: At least 1 year relevant Compliance Experience is required.
- Solid knowledge of regulatory requirements & good understanding of control concepts as well as compliance rules and regulations.
- Proficiency in English speaking & sound writing skills

**Salary**: $60,000.00 - $70,000.00 per year

**Benefits**:

- Maternity leave
- Parental leave
- Work from home

Schedule:

- Monday to Friday

Application Question(s):

- What's your expected salary?

**Experience**:

- relevant Compliance: 1 year (required)

Work Authorisation:

- Australia (required)

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