Job Type
Mark Montgomery
6 months ago
My client is the worlds fastest growing social trading platform incorporating commodities, currencies, financial assets, stocks and cryptocurrencies who are looking to add a compliance manager to the team in Australia to help structure the company from a regulatory standpoint as they continue to grow.

This role would suit someone who comes from an OTC Derivatives background and has experience managing the ASIC relationship. It will be a varied compliance role in a smaller team - you will have access to the senior leadership team for all compliance related issues, regulatory liason responsibility, maintenance of the AFSL, implementation of compliance frameworks.

Role responsibilities
  • Maintain and manage the Risk and Compliance framework under the company’s AFSL.
  • Ongoing monitoring and oversight of regulatory developments
  • Informing relevant decision makers of the relevant legal/regulatory updates;
  • Communication with / reporting to ASIC.
  • Compliance monitoring: quarterly review of all company operations in line with the regulatory guidelines AND audit findings.
  • Perform annual risk assessment.
  • Update local policies and procedures to reflect current regulatory requirements.
  • Oversight and approval of any marketing materials
  • Supervision of the AML Compliance Function, especially for client onboarding and verification.
  • Maintain the company’s legal documents (PDS, T&C’s) in conjunction with the Legal Department.
  • Ensure the Product and Ops team provide the necessary reports required for ongoing compliance monitoring.
  • Ensure all compliance and governance matters are escalated to senior management and to the Compliance Committee.
  • Independent function, reporting directly to the Board.
  • Implement Committee and Board decisions as required.


Job Prerequisites:
  • Academic Degree – Finance or Legal desired
  • Previous job experience in a related field – minimum 3 years
  • Extensive knowledge and experience with MIFID directives & ASIC regulations
  • Open to creative solutions & business innovation; a team player
  • Strong communication and presentation skills; must be comfortable to communicate with the senior management and the regulator
  • Strong verbal skills
  • Experience in MIS would also be desirable.
For further information on this role or to confidentially apply, please contact Mark Montgomery on 02 8227 9200 or apply directly via the Apply for this job button. Only WORD FORMAT resumes will be accepted.