Apply: Compliance Officer - FX / CFD

Reference: BH-163668-1
The Organisation & The Role

My client is a reputable FX/CFD broker who's been operating in Australia for 10+ years, and have expanded to Asia Pacific in the recent years in line with exponential growth. They're looking for a Compliance Officer to join a team of three compliance professionals, and directly support the Head of Compliance. You will manage and maintain the company's Compliance Program, promote a compliance culture through training, prompt reporting of information, identifying risks and establishing controls across the three lines of defence.


Responsibilities:
  • Conduct compliance monitoring reviews.
  • Complete compliance checks and prepare compliance report.
  • Ensure the existing AML/ CTF program is effective and compliant with external standards.
  • Assist with the reviewing and implementation of risk and compliance framework.
  • Investigate client disputes and implement the company’s Internal Dispute Resolution (IDR) process, liaising with AFCA when required.
  • Stay abreast of changing regulatory requirements and escalate to management as needed.
  • Review sales solicitations to ensure compliance with applicable regulation and approve financial promotions.
  • Assist with the preparation for and administration of regulatory, 3rd party, and internal audits.
  • Ensure matters that require escalation are notified to the Head of Compliance or in their absence Chief Executive Officer in a timely and effective manner.
  • Create and maintain risk assessments for AML, financial crime and anti-bribery and corruption, ensuring reviews are conducted in line with policy and on time.
  • Provide advice on the application of ASIC regulatory rules and policy.
  • Maintain an awareness of Australian regulations in respect of general compliance and their implications upon the business activities of the firm.

Skill Requirements:
  • Minimum 2 years of compliance experience in CFD trading.
  • Updated knowledge of AUSTRAC, ASIC and AFCA rules and regulations.
  • Self oragnised, motivated operator who is also a team player.
  • Ability to manage multiple projects and work towards demanding deadlines.

For further information on this role or to confidentially apply, please contact Eugena Gong on 02 8227 9200 or apply directly via the Apply for this job button. Only WORD FORMAT CVs will be accepted.
Company Background:

Ethos BeathChapman (EBC) is a global group of executive recruitment experts in Australia, Asia and EMEA, with a broader network beyond. We connect exceptional people to exceptional companies.

EBC’s mid-sized agility and solutions-focused approach enables us to flex where traditional recruitment agencies have failed, and scale beyond the reach of boutiques. Our multidisciplinary expertise covers corporate and specialised functions across Finance, Technology, Commerce and Government recruitment markets, among others.

Established 2005 in Sydney, EBC today has six offices worldwide in Australia, Singapore, Hong Kong, Japan, Netherlands and the UK. Part of the Nikkei-listed Will Group, Inc, we own Quay Appointments and our staffing and managed solutions specialists, CONNECT.

Let’s connect, and make exceptional happen, together: www.ethosbc.com

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