Apply: Senior Compliance Manager - FX / CFD

Reference: BH-173970
The Role & The Organisation

Our client an award-winning, multi-asset broker headquartered in Sydney, with over 10 years of market experience and global office locations. They’re now looking for a Senior Compliance Manager to take charge of all facets of compliance management for Australia – including Financial Crime (AUSTRAC), Client Complaints (AFCA), AFSL (ASIC), compliance training and team management. The successful candidate will be on track to become the Head of Compliance for Australia.


Key Responsibilities
  • Act as the AUSTRAC contact officer for reporting suspicious matters, international funds transfer instructions and threshold transactions, urgent reporting, compliance audits, or requests for information or documents.
  • Ensure continued compliance with the requirements of the AML/CTF Act and AML/CTF Rules (subject to the ongoing oversight of the reporting entity's board and senior management).
  • Ensure all ASIC (AFSL) details are current and up to date.
  • Respond to all client complaints received directly via AFCA or clients’ legal representative.
  • Oversee the formation and management of contracts with Liquidity Providers (LPs), Corporate Authorized Representatives (CARs) and Introducing Brokers (IBs).
  • Attend to notices from ASIC, manage the response process and report changes.
  • Liaise with Department Heads, Management and legal advisers on ASIC (AFSL) matters as required.
  • Perform annual checks on RM registers, arrange training where necessary.
  • Prepare agenda and minutes for monthly compliance meetings.
  • Review and maintain compliance registers.
  • Draft new policies and procedures and amendments to existing policies and procedures.
  • Manage, coach and develop Compliance Officer(s) in Sydney.

Requirements
  • 5 years of Compliance experience in the CFD industry.
  • Updated knowledge of legislations and regulatory requirements that apply to the CFD industry.
  • Direct experience dealing with ASIC, AUSTRAC and AFCA.
  • Legal qualifications highly looked upon.
  • Ability to manage a busy taskload and deliver to deadlines, whilst managing a small team.

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:
<p>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. <br /> <br />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.</p> <p>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. <br /> <br />Let’s connect, and make exceptional happen, together: <a href="http://www.ethosbc.com" target="_blank" rel="nofollow">www.ethosbc.com</a> </p>

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