Description:
The Company:Our client are a top forex and CFD broker, they offer trading services in forex, commodities, metals, and indices, delivering superior conditions for retail and institutional clients. They provide fast execution, dedicated support, and educational resources to help traders navigate the market confidently. With a global presence and trusted reputation, they ensure diverse investment opportunities and a fair, rewarding trading experience.About the Role:We are seeking an experienced and proactive Compliance Manager to lead our client's compliance function. This role ensures the organization adheres to all applicable regulations and internal policies while fostering a culture of compliance across all levels of the business.
Key Responsibilities:Conduct regular reviews of the firm's policies and procedures to ensure compliance with relevant regulations.Assist with the implementation of new compliance processes and procedures.Provide guidance and support to the business on regulatory compliance matters.Manage client complaints and develop practical dispute resolution solutions.Ensure compliance with regulatory requirements through the Compliance and AML Monitoring Program and report any compliance issues or breaches to senior management.Assist with the preparation of regulatory reports.Monitor regulatory developments and advise the business on the impact of any changes.Deliver compliance training to the business.Investigate and report on any breaches of regulatory requirements.Conduct investigations and reviews of suspicious transactions or other potential compliance issues.Review and approve marketing and advertising materials.Support the compliance and client-facing teams in responding to client complaints.Perform client account reviews to identify any suspicious activity.Any other duties assigned by the Head of Compliance or Senior Management.
Experience/Knowledge/Skills:4+ years of compliance experience. Must have experience across CFD's or margin FX.Strong understanding of regulatory frameworks and compliance best practices.Strong problem-solving skills with a demonstrable track record of effectively managing a complex range of stakeholders.Ability to be a self-starter with a hands-on approach.Highly articulate communication skills in English; Mandarin proficiency preferred.Full eligibility to work in Australia.
If you are a detail-oriented compliance professional passionate about regulatory adherence and risk management within the trading space, we encourage you to apply for this role.
16 Mar 2025;
from:
uworkin.com