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Compliance Analyst (Financial Markets)

Sydney

Full time

Consulting / Legal / Education / Research

Responsibilities
Collaborate with business units to understand their products, services, and regulatory obligations.- Assist in maintaining and improving compliance policies, procedures,



and controls to manage regulatory risks.- Conduct ongoing compliance monitoring reviews and risk assessments.- Take ownership of delivering regulatory training across the business.- Support the complaints handling process, especially with escalated cases.- Review marketing materials, client communications, and website content to ensure regulatory compliance.- Help maintain records, registers, and reports for the Compliance department.- Work closely with internal teams and external regulators to promote a positive compliance culture.

Qualifications
A Bachelor’s Degree in Law, Business Law, Commerce, Finance, or a related field.- A keen interest in financial markets and regulations.- Exposure to ASIC, AUSTRAC, AFCA, and the Corporations Act is preferred but not essential.- Fluency in Mandarin is required.- Strong communication skills and a growth mindset.- Recent graduates with distinction or honors will also be considered.- RG146-compliant candidates are preferred.

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📌 Compliance Analyst Financial Markets Sydney (Australia)
🏢 Tiger Brokers
📍 Australia