Compliance Manager

4 weeks ago

Sydney, Australia CMC Markets Stockbroking Limited Full time

If you also believe that everyone should be able to achieve their financial potential, then you’ll love contributing to CMC Markets’ company vision of providing the ultimate trading experience. Seize the opportunity to progress your career in the fintech industry by joining a global leader in CFD trading and share investing. Grow yourself personally and professionally with a company that’s growing with you, by global expansion and product offering.

If you’re looking for your next big piece of work, with multijurisdictional exposure and the opportunity to hone your risk and compliance experience with a focus into larger organisations, this 12 month fixed-term contract could be what you’re after. In the role of Compliance Manager, based in either our Sydney or Auckland office, you will gain significant exposure by leading the efforts to secure all necessary regulatory licenses from the NZX and other relevant authorities as CMC Markets embarks on an exciting partnership with ASB Bank, a major NZ institution where we will offer ASB our white-label Equities Stockbroking technology.

Why You'll Like Working Here:

Just some of the reasons you’ll love working here include:

  • Continuous learning: Our generous L&D program covers both technical, performance and leadership training, ensuring you're always learning new skills.
  • Leave benefits: Enjoy your birthday off to spend time with family and friends, on us Utilise a free annual charity day to give back to your community.
  • Unlimited access to a dedicated benefits & wellbeing hub where you can save money through various retailer discounts, and make use of a variety of resources that will enhance your physical and mental wellbeing
  • Collaboration: We believe that great things happen when smart people work together, that’s why we’ve made the decision to work five days in the office.
  • $0 Trades: Staff & family trading accounts with CMC Markets Invest have access to the best brokerage rates in the market - $0 trades for all domestic and international equity orders
  • Office perks: Help yourself to free breakfast cereals, condiments, and coffee to fuel your workday. Our culture club provides opportunities for everyone whether you’re into fitness, pizza making classes, socialising or bringing out your competitive side in trivia or lawn bowls

What You’ll Be Working On:

As the project’s compliance leader, you will manage many moving pieces to ensure everything is in place for CMC’s accreditation as an NZX trading, clearing, settling and custody participant, among other membership and license requirements.

You will design and implement a comprehensive compliance framework and regulatory operations matrix, covering all stockbroking activities within CMC Invest New Zealand. You will conduct a thorough compliance risk assessment and establish a risk-based compliance monitoring program that will effectively oversee regulatory adherence.

At the end of the project, your efforts will have facilitated the expansion of CMC Invest’s Stockbroking operations into New Zealand and made a long-term strategic partnership with ASB Bank possible.

What Will Help You Be Successful:

  • 5+ years of experience in a similar role, with time spent in the stockbroking industry and a relevant tertiary qualification (business, law, etc.)
  • Adaptability to thrive in a fast-paced environment and commit yourself when it’s crunch time
  • Ability to build strong working relationships as you coordinate closely with both internal and external stakeholders
  • Eligibility to work in Australia or New Zealand permanently

The Things We Live By:

CMC Markets is powered by our people. We are an equal opportunities employer and are committed to creating a diverse and inclusive workplace, where our people feel confident to be themselves, feel valued and are able to do their best work. We don’t just value differences and unique perspectives, we seek them out and we invite them in, because we know it will lead to better outcomes for everyone.

Click on the link to find out more about the things we live by at CMC Markets CMC Markets - Culture Video

We’re always on the lookout for great people, so even if you don’t feel you are a 100% fit, apply with your up-to-date CV and we’ll consider you for this role and any other suitable opportunities across the business.

We look forward to hearing from you

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