Compliance Director

​Edward Mann are partnering with a fast growing Fintech business in recruiting for a Compliance Director based in Surfers Paradise.

This business is at the forefront of the Cryptocurrency industry for Australia, as an early adopter in the country and will launch as a Cryptocurrency exchange in the next 12-18 months. Following that it has the aim of becoming Australia’s first Crypto Bank.

This business has developed it’s unique block chain investment products over the last 5 years, as the business continues to grow, this could be your opportunity to get in at the ground level as Blockchain and digital assets become mainstream in Australia.

This role will report the Group CEO, and will have full autonomy to develop, mature and scale this critical business function spanning all aspects of compliance. As the business grows, this role will oversee the development/growth of the compliance team.

This is a permanent position, paying up to 180k + Super, with significant bonuses based on company and personal performance, which could be as high as 100-200% or greater. There are also lucrative profit share opportunities in the venture.

Directly reporting to the Group CEO, this role involves building and managing the day-to-day compliance operations of the group. This will include:

• Research and analyse federal and state rules, regulations, and interpretive guidance, and draw well-reasoned conclusions related to their applicability to the business, as well as operational processes and procedures.

• Monitor changes to applicable federal and state regulations, laws and policies and advise senior management and employees in advance of emerging regulatory and compliance issues.

• Consult and guide the business in the establishment and implementation of appropriate processes, procedures and controls designed to ensure compliance with applicable laws and regulations and to ensure appropriate safeguards are in place to prevent, detect, and make corrections to any compliance failures and to mitigate risks.

• Lead and manage the identification, through the monitoring, testing and reporting, of procedural and policy-related weaknesses; establishes guidelines for the development of systems to resolve identified exceptions and deficiencies; oversees the development and completion of the annual compliance testing schedule/work plan.

• Remain abreast of and anticipate industry trends and promotes a culture of compliance throughout the business.

• Oversee the review of marketing, sales and product materials and communications to ensure regulatory compliance.

• Coordinate all compliance examinations and external audits; serve as the primary point of contact for examiners in all regulatory compliance related matters.

• Provide training and education to the directors and employees regarding their responsibilities with respect to the compliance program.

• Establish strong working relationships with internal and external business partners.

• Carry out annual reviews of policies and procedures and conduct annual risk assessments to determine the effectiveness of compliance procedures; maintain an updated written compliance manual.

• Work closely with the risk management and corporate governance function; manage compliance-related third-party vendor relationships.

• Complete and delivers clear and concise compliance-related reports to Senior Management.

• Oversee the independent investigation of matters or complaints related to compliance and provides formal responses to such matters or complaints.

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About you:

To be successful in this role, you must meet the following requirements:

• Previous working experience within a financial services compliance position

• Experience and familiarity with the Australian Securities and Investment Commission.

• Sufficient knowledge to resolve and answer complex compliance questions throughout all levels of the business.

• Advanced verbal and written communication skills.

• Strong initiative and decision-making abilities.

• Effective coaching and training skills.

• Strong risk assessment and priority-setting abilities.

• Entrepreneurial mindset, high energy, can-do attitude, adaptable and result driven; strong drive to build a business and break new grounds.

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For more information please apply ASAP.

Edward Mann Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Edward Mann Ltd is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply.