2x Compliance Officer roles – Stockbroking/CFDs

8 hours ago

Sydney, New South Wales, Australia PX Resources Full time $60,000 - $120,000 per year
  • Growing financial services organisations within stockbroking, CFDs and FX operations
  • Broad roles – compliance monitoring, AML, policies and procedures, regulatory filings, training
  • Circa 2-3 years Compliance background in Stockbroking, CFDs, FX, equities

We are currently working with two financial services organisations within the Stockbroking, CFD, FX industry looking to grow their compliance teams. They are looking for hands-on and down-to-earth compliance professionals to join their lean team.

You will gain broad exposure across the compliance function, some of your responsibilities will include:

  • Conducting compliance monitoring activities
  • Developing, reviewing and updating policies and procedures
  • Ensuring compliance with ASIC regulations, AML laws and relevant regulations including conducting compliance reviews
  • Preparing compliance reports and filings requested by regulatory bodies
  • Drafting and facilitating compliance training across the organisation
  • Maintaining compliance records and documentation

The ideal candidates will have:

  • Circa 2-3 years compliance experience within financial services
  • Background in stockbroking, CFDs, FX, equities, derivatives ideal
  • Good communication skills with the ability to liaise with stakeholders and regulatory bodies
  • Proactive attitude, ability to work in lean environments and willing to be hands-on
  • Relevant tertiary qualifications

If you would like to learn more, please send your CV through to Jerin Chowdhury at PX Resources ), call Jerin on or apply directly via the APPLY button.

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