The Organisation The Role Our client is an award-winning multi-asset broker / investment FinTech that provides access to thousands of financial products across FX, CFDs, Indices, Commodities, Shares, ETFs and Bonds.
They're committed to delivering a reliable and trusted trading environment, offering integrity, security, and operational excellence.
This is a new addition to their 2LoD Compliance team, to manage end-to-end regulatory compliance matters for the firm's AFSL.
Duties Responsibilities Conduct compliance monitoring and assurance reviews to ensure adherence to AFSL obligations and regulatory requirements.
Ensure the firm complies with Corporations Act and ASIC Regulatory Guidelines.
Identify, assess, and investigate compliance incidents and breaches, including ASIC reportable situations where required.
Update compliance policies / procedures / frameworks in line with regulatory changes.
Develop and deliver compliance education and awareness activities that strengthen understanding of regulatory obligations across the business.




Review marketing documents to ensure they remain accurate and compliant.
Manage complaints and dispute resolution in line with ASIC and AFCA requirements.
Support internal audits, regulatory reviews, and ASIC enquiries.
Key Requirement 3+ years of hands-on experience in a compliance, risk, regulatory or governance role with an AFSL licensee.
Strong understanding of AFSL obligations, ASIC regulations, the Corporations Act ****, and AML/CTF requirements.
Skilled in compliance monitoring, breach management, risk assessments, policy development and complaints resolution.
Open-minded, adaptive and cooperative - passionate about learning and getting your hands dirty.
Experience in OTC derivatives is highly regarded.
To Apply Please click 'Apply' and submit your CV.
For a confidential discussion please contact Eugena Gong at ****************************

📌 Regulatory Compliance Analyst (Mandarin Speaking) (New South Wales)
🏢 Talent Web
📍 New South Wales