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 setting, 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.
The role plays a crucial role to ensure the firm complies with Corporations Act and ASIC Regulatory Guidelines.
Duties Responsibilities Conduct compliance monitoring and assurance reviews to ensure adherence to AFSL obligations and regulatory requirements.
Identify, assess, and investigate compliance incidents and breaches, including ASIC reportable situations where required.
Review marketing documents to ensure they remain accurate and compliant with RG 234 requirements.
Manage complaints and dispute resolution process in line with ASIC RG 271 and AFCA requirements.
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.
Support internal audits, regulatory reviews, ASIC enquiries, and ad hoc projects.
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.
Broad knowledge of Design and Distribution Obligations (DDO) and Target Market Determination (TMD).
Some hands-on experience in assessing and managing compliance breaches, complaints resolution (IDR EDR), marketing / PDS compliance.
Open-minded, adaptive and collaborative - passionate about learning and getting your hands dirty.
Experience in OTC derivatives is highly regarded.
Chinese Mandarin proficiency is mandatary.
To Apply Please click 'Apply' and submit your CV.
For a confidential discussion please contact Eugena Gong at ****************************

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