Apply: Compliance Specialist - Financial Markets

Reference: BH-175007
The Role & the Organisation:

You will join a globally recognised and awarded Financial Markets trading technology company. Based in their Melbourne CBD office, you will become part of the APAC Compliance team by conducting testings and checks, reviewing existing procedures, and proactively driving through changes to improve the robustness of compliance controls - a great opportunity to broaden your exposure in a hands-on, end-to-end compliance management within a heavily regulated industry.
 
In the role you will:
  • Assist the local Head of Compliance, ensuring the company complies with its statutory and regulatory obligations (ASIC, AFCA, OAIC, & AUSTRAC).
  • Conduct various  compliance testing in accordance with the Compliance Monitoring Plan.
  • Proactively identify inefficiencies, drive through automated/manual solutions where possible to mitigate regulatory risks to improve business processes and customer experience.
  • Review, approve, and audit marketing materials (e.g. financial adverts, website disclosures, market videos) in accordance with regulatory and internal compliance advertising protocols.
  • Review and run the compliance training program for staff.
  • Conduct and report suspicious matters / transactions in accordance with AUSTRAC guidelines.
  • Handle internal and external enquiries in relation to the company’s compliance and/or back office policies, procedures and controls.
  • Promote a compliance culture and assist employees to understand their compliance responsibilities.

Requirements:
  • Passion for financial markets & trading (essential), and its regulatory compliance requirements.
  • 1-2 years of Risk, Compliance or Audit experience in Financial Markets with good knowledge of AML/KYC rules.
  • Self-starter, with motivation for continuous learning and willingness to get your hands dirty.
  • Great communicator and team player.

For further information on this role or to confidentially apply, please contact Eugena Gong (eugenag@ethosbc.com.au) 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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