Senior Compliance Manager| Online Trading | Growing business

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Salary : $140000 - $150000
Location : Sydney CBD
Post Date :
Employment Type : Permanent
Job Reference : 9595PR
Job Classification : Financial Services

Description :

The Company

The company is an online trading firm with offices globally

The Role

The role, reporting to the local MD, is responsible for all liaison with the regulator and building a strong compliance culture. Detailed responsibilities include:

  • Develop and maintain compliance frameworks and policies to satisfy regulators, including ASIC
  • Ensure the firm meets its AML obligations
  • Prepare regulatory reports and documentation for ASIC
  • Advise on trading compliance around CFDs amongst other products
  • Responsible for Risk Management and Risk Identification
  • Seek to continuously improve policies and procedures
  • Provide internal training on compliance matters

Your Profile

This role provides the opportunity to manage compliance at a growing firm and will suit a professional with experience at an online broker or trading firm. To qualify, candidates must have the following experience:

  • Proven senior compliance experience at an online broker/trader
  • The ability to work independently and make decisions
  • Experience working directly with Australian regulators
  • CFD product experience a strong plus
  • Having a commercial approach to compliance
  • Strong communication and stakeholder management skills
  • Sociable and easy to work with

Apply Today

Please send your resume by clicking on the apply button or for further information, contact Paul Ridley in our Sydney office on 02-9240-0455.

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MLC Centre, Level 45
19 Martin Place
2000 Sydney
Phone : 02 9241 6255

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