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Compliance Manager

  • Location

    Sydney CBD

  • Sector:

  • Job type:

    Permanent

  • Salary:

    $110,000 - 130,000 + Super

  • Contact:

    Sam Kitchen

  • Contact email:

    sam.kitchen@edwardmann.com.au

  • Contact phone:

    0410122389

  • Published:

    about 1 month ago

  • Expiry date:

    2022-05-20

  • Startdate:

    ASAP

​Edward Mann is recruiting for one of Australia’s top revolutionary online trading companies headquartered in Sydney’s CBD. They are looking for a permanent Compliance Manager which will pay up to 130K + Super, depending on candidate experience but flexible for exceptional candidates.

The primary purpose of this role is to be accountable for managing all aspects of complaint handling, ensuring compliance with any applicable regulatory and legal requirements and responsible for resolving complex operational and compliance issues.

The client is looking for this individual to start ASAP.

The role offers great working from home flexibility as well as several other perks.

Responsibilities:

  • Prepare and review regulatory documents, ensuring regulatory obligations are met;

  • Maintain sufficient policies, procedures, systems and controls to identify, mitigate, prevent and manage regulatory risk;

  • Oversee the AML/CTF compliance framework for the company;

  • Responsible for the reviewing financial services guide (FSG), Product Disclosure Statements (PDS) and other various marketing materials from a regulatory compliance perspective;

  • To act as a central point of contact for compliance issues, ensuring that any problems are dealt with appropriately and rectified with SLA’s;

  • Managing disputes and litigious matters and developing risk mitigation strategies and procedures;

  • Highlight risk and provide solutions to mitigate challenges were appropriate;

  • Supervise the work performed by junior compliance staff;

  • Schedule and deliver compliance training to all business units;

  • Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training;

  • Assist with marketing approvals including but not limited to financial promotions, client communications and website content;

  • Continuously review the effectiveness of the compliance program and recommend opportunities for improvement/enhancement to the Compliance committee/Board;


Skills and experience:

  • 5-6 years of experience in a compliance role

  • Deep understanding of forex & CFD's

  • Updated knowledge of AML/CTF

  • Excellent compliance advisory experience and the ability to advise confidently on CFD products

  • Deep understanding of regulatory compliance requirements for Australia

  • Strong stakeholder management experience, with the ability to build effective working relationships with people from across the business

  • Ability to generate summaries and reports for senior management

  • Excellent organisational and time management skills

  • Internal/external dispute resolution experience

  • An understanding of legal requirements, controls and best practices

  • Experience in representing an organisation with regulators

  • Strong negotiation and relationship management skills.

  • Previous experience of handling complaint resolution.


Personal Skills

  • High levels of integrity

  • Ability to plan and organise time effectively and to work effectively under sometimes extreme time pressure

  • Excellent communication skills

  • Highly developed analytical skills in a Compliance & AML context

  • Attention to detail in both analysing and producing data

  • Ability to identify problems & find appropriate solutions

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.