Compliance Director - Australia

Responsibilities

The Compliance Director will report functionally to the Head of Core Compliance – APAC and locally to the Managing Director for Australia.

The primary responsibilities for this role include:

• Acting as the firm’s point of contact with ASIC, exchanges and other regulatory bodies;
• Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in the region;
• Designing procedures for complying with ASIC and exchange requirements for all regulated activities;
• Drafting and implementing firm policies and written supervisory procedures;
• Handling regulatory inspections and audits (both internal and external)
• Developing/implementing the relevant remedial action plans to address any findings from regulatory or internal audits;
• Crafting written instructions for programmers and technology staff in light of new regulations or the launch of new business lines;
• Gathering information and preparing written responses to enquiries from ASIC, exchanges and other regulatory bodies and law enforcement agencies.
• These responsibilities will include questions and issues in at least the following subject matters:
• These responsibilities will include questions and issues in at least the following subject matters:
  • Anti-money laundering rules
  • Market conduct and trading rules
  • Electronic trading and algorithm rules
  • Surveillance, including market abuse
  • Short sales
  • Client Complaints
  • Product and investor disclosure regulations

Required Qualifications and Skills:

• Must be a self-starter with strong analytical skills and the ability to work at a fast pace;
• Strong organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced working environment with minimal supervision;
• Comfort with computers and technology and understand how technology is applied to business and regulatory problems.
• Outstanding oral and written communication skills
• Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
• Ability to work in a small-team environment
• Strong organizational and management skills.
• Proven experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;
• Familiarity with the Australian regulatory process, rules and codes;
• A “can do” attitude with a willingness to learn.

Company Benefits & Perks

• Competitive Salary, annual performance-based bonus and stock grant
• Excellent health and welfare benefits, including medical, dental, specialist and in-patient
• Competitive package of Annual Leave
• Modern offices with multi-monitor setups
• Great work-life balance
• Unique opportunity to gain exposure to global financial products, markets and clientele
• Opportunities for career progression and job scope expansion in a global company with a growing local presence
• Hybrid work arrangement role permitting

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Last updated on Aug 20, 2024