Compliance Associate

1 week ago

Melbourne, Victoria, Australia Fxcm Full time

**Vacancy No**
- VN740

**Employment Type**
- Regular Full-Time

**Location**
- Melbourne

**Job Details**

**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

**To learn more about the forex market and FXCM, please visit**:
**Company Description**
The FXCM group of companies (collectively, the "FXCM Group") is a leading provider of online foreign exchange (forex) trading, CFD trading, spread betting and related services. Our mission is to inspire global traders with access to the world's largest and most liquid market. By offering the most innovative trading tools, hiring the best trading educators, and meeting strict financial standards to protect trader funds, we strive for the best online trading experience in the market.**We are an Equal Opportunity Employer.

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