Job Description
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.
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This is a new addition to their 2LoD Compliance team, to manage end-to-end regulatory compliance matters for the firm's AFSL.
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Duties & Responsibilities
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Conduct compliance monitoring and assurance reviews to ensure adherence to AFSL obligations and regulatory requirements.
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Ensure the firm complies with Corporations Act and ASIC Regulatory Guidelines.
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Identify, assess, and investigate compliance incidents and breaches, including ASIC reportable situations where required.
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Update compliance policies / procedures / frameworks in line with regulatory changes.
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Develop and deliver compliance education and awareness activities that strengthen understanding of regulatory obligations across the business.
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Review marketing documents to ensure they remain accurate and compliant.
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Manage complaints and dispute resolution in line with ASIC and AFCA requirements.
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Support internal audits, regulatory reviews, and ASIC enquiries.
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Key Requirement
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3+ years of hands-on experience in a compliance, risk, regulatory or governance role with an AFSL licensee.
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Strong understanding of AFSL obligations, ASIC regulations, the Corporations Act ****, and AML/CTF requirements.
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Skilled in compliance monitoring, breach management, risk assessments, policy development and complaints resolution.
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Open-minded, adaptive and team-oriented - passionate about learning and getting your hands dirty.
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Experience in OTC derivatives is highly regarded.
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📌 Asic Compliance Analyst (New South Wales)
🏢 TalentWeb | B
📍 New South Wales