Company Overview

Openmarkets Group (Omg) is a leading Australian B2B fintech, providing trading, wealth management infrastructure and technology solutions to financial institutions, advisers and fintechs.

We deliver a unique, end-to-end ecosystem that connects investors to markets through scalable, compliant and innovative technology. Operating within Australia's highly regulated financial system under our AFSL, we are trusted by partners to power critical trading and investment capabilities. We also support a growing network of private wealth advisers and are expanding our capabilities across emerging financial products and markets.

At OMG, we're building the infrastructure behind the future of wealth. We're a fast-growing business where priorities evolve quickly, and we value people who are adaptable, commercially minded and motivated to make an impact. If you're excited by growth, pace and shaping the future of financial services, you'll fit right in.

About the Role: ‘pick up and run with it…’

This is a six-month fixed-term contract to run Openmarkets' compliance function day to day while the Head of Compliance focuses on special projects. You will lead the compliance team, oversee the processes governing financial advice, markets and AML, and be the first port of call for the varied compliance questions that come up throughout the day.

Responsibilities

Day-to-day leadership

- Run the compliance function day to day: set daily and weekly priorities, triage things, work with stakeholders to help find answers and fix problems
- Help the team do their best work by acting as a point of escalation and acting as a sounding board.




- Act as the first point of contact for compliance questions from the business, find the info and give practical answers quickly
- Escalate big things to the Head of Compliance and keep them informed

Financial advice

- Oversee Openmarkets’ processes for meeting retail advice obligations, including supporting our very experienced advice compliance manager

Markets

- Oversee Openmarkets’ processes for meeting its exchange and ASIC Market Integrity Rules obligations, including supporting our very experienced trade surveillance analyst
- Help respond to pre-trade escalations from designated trading representatives

AML

- Help respond to day-to-day AML escalations from our very capable AML compliance analyst
- Reporting, risk and governance
- Prepare compliance committee papers and board reports
- Triage and manage incidents and breach assessments
- Keep track of regulatory reporting deadlines (e.g. IDR data reporting)
- Be generally ready to tackle whatever the day gives you

Key Relationships

- Head of Compliance
- Chief Operating Officer
- Trading Desk

Cybersecurity Responsibilities

All employees are responsible for safeguarding the confidentiality,



integrity and availability of the information assets they access or manage. This includes:

- Complying with the company's Information Security Management System (ISMS), policies and procedures
- Adhering to secure working practices, including appropriate data handling, access control and incident reporting
- Protecting systems and information from unauthorised access, disclosure, alteration or destruction
- Completing mandatory security training and applying cybersecurity awareness in day-to-day activities

All employees are expected to operate in accordance with ISO 27001 standards and contribute to maintaining a solid culture of information security across the organisation.

What You Bring

- 8+ years' compliance experience in Australian financial services, including at least 3 years at manager level or above
- A good understanding of retail financial advice obligations, and the systems and processes licensees commonly use to meet them (for example, advice file reviews, SOA vetting, fee renewal tracking and adviser monitoring)
- A good understanding of the ASIC Market Integrity Rules and the ASX and Cboe Operating Rules, and the systems and processes participants commonly use to meet them (for example, trade surveillance, pre-trade filters, order and trade records, and client money controls)
- Strong problem-solving skills: able to fact-find, work with people across the business and get to a practical answer on whatever comes up during the day
- Able to step into an established team quickly and make decisions with limited handover
- A positive “we can do it” attitude

📌 Senior Compliance Manager (6 Month Contract) (Sydney)
🏢 Openmarkets Group
📍 Sydney