+60d ago

Senior Compliance Officer

Hays Banking

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$110k - $130k
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Above avg. range
$110k - $130k
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Full job description

Your new company
A global broker in Singapore is opening an office in Sydney with an AFSL Licence and are looking to grow in the Sydney market of FX and CFDs for retail and institutional clients.

Your new role
Reporting to the Chief Risk Officer, the Senior Compliance Officer will set up, oversee and monitor compliance with regulatory requirements in relation to the Australian entity.

  • Develop risk frameworks, enhance risk management and compliance culture. Contribute to risk and compliance discussions with senior management.
  • You will keep abreast of regulatory developments and identify risks and control weakness and provide recommendations to resolve the issues.
  • Prepare and file all regulatory paperwork and reporting to ASIC and relevant Australia licensing authorities.
  • Point of contact for all Australian compliance and regulatory matters.
  • Responsible for the incidents and breach management for the AFSLs, ensuring regulatory obligations are met.
  • Monitoring and surveillance of guidelines which includes setting up & maintaining the rules and watchlist.
  • Advising and providing comments for new and existing mandates in terms of review and media advertisements.
  • Pre and post trade monitoring of guidelines as prescribed by the regulators
  • Working closely with the respective business units to ensure adequate action plans are taken to remediate the identified non-compliance issues within the agreed timeline;
  • Provide oversight to the AML/CFT compliance program for the Australian entity.
  • Take accountability in considering business and regulatory compliance risks and takes appropriate steps to mitigate the risks;
  • Maintain awareness of industry trends on regulatory compliance, emerging threats and appropriate steps to mitigate the risks; and
  • Highlight any potential concerns/risks and proactively share best risk management

What you'll need to succeed

  • Tertiary qualification in a related discipline is preferred
  • Minimum 4 years of compliance experience gained in an Australian financial services firm
  • Good knowledge of AML/CFT and strong understanding of local regulatory requirements in Australia
  • Understanding of risk governance, supervision and control framework, concepts of control design and control operating effectiveness
  • You are motivated, analytical and possess effective communication skills and decision-making skills.
  • Australian Citizenship or Australian Permanent Residency

What you'll get in return
This remote working unique role offers the chance to be part of something new and exciting from the ground up and assist in the new Australian entity, building out the Compliance Framework and AML programme from the group and may be a Head of Compliance Role in the future.

What you need to do now
Please click APPLY NOW, email your CV tophilip.lewis@hays.com.au or call for a confidential discussion on 02 8226 9752.

LHS 297508 #2548023

Job details
Date posted
26 Aug 2021
Banking, Superannuation & Finance
Federal Government
Above avg.
$110k - $130k
Work type
Job mode
Standard/Business Hours
Private Business

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