VS Global Advisory Pty Ltd - Sydney CBD NSW

VS Global Advisory is recruiting an experienced, hands-on Head of Compliance to lead the Australian compliance function of a global investment bank with operations across multiple markets.

Reporting directly to the Managing Director, you will take ownership of the Australian Financial Services Licence (AFSL) compliance framework for the bank’s contracts for difference (CFD) business. You will strengthen regulatory controls and advise senior leaders as the Australian business grows.

Sydney is preferred, and candidates based elsewhere in Australia are welcome to apply.

About the role

VS Global Advisory is recruiting an experienced, hands-on Head of Compliance to lead the Australian compliance function of a global investment bank with operations across multiple markets.

Reporting directly to the Managing Director, you will take ownership of the Australian Financial Services Licence (AFSL) compliance framework for the bank’s contracts for difference (CFD) business. You will strengthen regulatory controls and advise senior leaders as the Australian business grows.

Sydney is preferred, and candidates based elsewhere in Australia are welcome to apply.

Key responsibilities

- Develop, implement and maintain the AFSL compliance framework, including policies, procedures and controls that reflect the business’s licence conditions and regulatory obligations.
- Lead compliance monitoring and testing, breach assessment, remediation and regulatory reporting.
- Oversee compliance with ASIC’s CFD product intervention order, including controls for retail leverage limits, margin close-outs, negative balance protection and prohibited inducements.
- Oversee design and distribution obligations (DDO), including target market determinations (TMDs), distribution controls and monitoring of client outcomes.
- Oversee market conduct and retail and wholesale client classification,



and review product disclosures and marketing materials.
- Monitor compliance with client money and applicable OTC derivatives transaction reporting requirements, and oversee compliance risks associated with outsourced service providers.
- Manage regulatory change, oversee complaints handling and liaise with ASIC and the Australian Financial Complaints Authority (AFCA).
- Provide practical compliance advice and reporting to the Managing Director, executive team and Board.

About you

- Hands-on experience conducting compliance testing in an Australian stockbroking business is essential.
- Practical experience implementing or overseeing design and distribution obligations (DDO), including TMDs and distribution controls, is essential.
- Extensive compliance experience within an Australian AFSL-regulated financial services business. Direct experience in retail FX and CFDs is highly regarded.
- Solid working knowledge of Australian financial services regulation and ASIC’s requirements for CFD issuers, including product intervention, client money and reportable situations.
- Demonstrated ability to build and manage compliance frameworks independently and translate regulatory requirements into practical controls.
- Experience advising senior stakeholders, engaging with regulators and overseeing breach investigations and remediation.
- A proactive, commercially minded approach and the confidence to operate autonomously.

Why join?

- Lead Australian CFD compliance within a global investment bank.
- Work directly with the Managing Director and advise the executive team and Board.
- Shape the compliance framework as the Australian business grows, with responsibility across product governance, distribution and market conduct.

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📌 Head of Compliance (CFDs) (Sydney)
🏢 VS Global Advisory
📍 Sydney