Compliance Manager

We are ZERO

Zero Markets ("ZERO") is a multinational trading technology powerhouse, specialising in equities execution. We deliver cutting-edge solutions that seamlessly connect clients to markets through robust infrastructure, deep liquidity, and agile execution capabilities.

As we grow, our focus remains on innovation, compliance, and delivering market-leading connectivity across diverse jurisdictions.

Our team

The Compliance team at ZERO plays a pivotal role in enabling the business to operate safely, responsibly, and in accordance with regulatory expectations, including obligations under the Corporations Act 2001 and ASIC's AFSL framework.

We work in close partnership with teams across the organisation to deliver clear, practical risk advice and actionable insights. Our approach is solutions-focused and collaborative, underpinned by a commitment to building a strong risk culture that supports both strategic and operational objectives.

Through proactive engagement, robust systems, and continuous improvement, we help ensure that ZERO maintains the highest standards of integrity, transparency, and regulatory compliance.

Your role

Reporting to the Head of Compliance and Executive Management, you are required to demonstrate a strong working knowledge of AML/CTF legislation, regulatory guidance, and global best practices, with proven experience in customer due diligence (CDD/KYC), transaction monitoring, suspicious matter reporting and regulatory engagement.

Lead and contribute to the development of compliance practices, including the design and enhancement of frameworks, policies, and procedures that support ZERO' strategic and operational objectives.

Support regulatory engagement by preparing clear, accurate, and timely responses to inquiries, audits, and information requests from ASIC and other regulators.

Assist in preparing and delivering compliance training across the organisation to embed a strong risk culture, enhance regulatory awareness, and build capability in risk identification and mitigation.

Execute and maintain the enterprise compliance framework, ensuring alignment with regulatory obligations and industry best practices.

Collaborate with cross-functional teams to provide practical, solutions-focused compliance advice that enables safe and responsible business growth.

Evaluate and advise on compliance matters across the business, ensuring alignment with applicable regulatory frameworks including the Corporations Act, ASIC Regulatory Guides, and AFSL obligations.

Manage compliance incidents and breaches, including investigation, documentation, and escalation of matters outside ZERO' risk appetite. Coordinate breach reporting and remediation activities, ensuring timely notification to ASIC where required under section 912D of the Corporations Act.

Assist in producing presentations of compliance reporting to Executive Management ensuring clarity, relevance and strategic alignment.

We would like you to have:

• Experience:
  Minimum 3+ years in a compliance role within CFD trading ideally, or 5+ years' compliance experience in stockbroking or broader financial services. Prior experience in AML/CTF compliance within the financial services sector, ideally with involvement in designing or enhancing AML frameworks, conducting risk assessments, and delivering staff training will be highly regarded, along with the ability to interpret complex regulations and translate them into practical, business-focused controls.
• Risk Expertise
  : Demonstrated, in-depth understanding of compliance, operational, and regulatory risk.
• Monitoring Programs
  : Proven experience in the design, implementation, and execution of compliance monitoring frameworks.
• Market Knowledge
  : Strong general knowledge of financial markets, trading products, and broking operations.
• Strategic Acumen
  : Ability to apply analytical thinking and sound business judgment to complex regulatory and operational challenges.
• Stakeholder Engagement
  : Extensive experience in managing relationships with internal and external stakeholders, including regulators.
• Independence & Execution
  : Capacity to work autonomously with effective time management and prioritisation skills.
• Communication Skills
  : Excellent verbal and written communication, with the ability to prepare and present reports to Senior Management and regulators.

Qualifications
: Tertiary qualification in business, finance, governance, or risk management (or equivalent industry certification) is essential