Description:
What makes this a great company to work for?Our client offers seamless trading and investments in financial markets across the globe. With access to a range of trading platforms, across multiple tradeable instruments offered to several different account types they aim to provide an exceptional client experience, backed up by great pricing, execution and customer support.
Reporting into the local Head of Compliance, the Compliance Manager will lead the day to day compliance function. This role involves ensuring the organization adheres to all applicable regulations and internal policies while fostering a culture of compliance across all levels of the business.
What will my day to day look like - Compliance Manager position
- Conduct regular reviews of the firm's policies and procedures to ensure they comply with relevant regulations.
- Assist with the implementation of new compliance processes and procedures.
- Provide guidance and support to the business on regulatory compliance matters.
- Managing client complaints and developing practical dispute resolution solutions to address and resolve issues efficiently.
- Ensuring that the Company complies with the regulatory requirements through the Compliance and AML Monitoring Program and reporting any compliance issues or breaches to the Head of Compliance or Senior Management.
- Assist with the preparation of regulatory reports.
- Monitor regulatory developments and advise the business on the impact of any changes.
- Assist with the delivery of 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.
- Assisting with the review and approval of marketing and advertising materials.
- Support the compliance team and client-facing teams in responding to client complaints.
- Performing Client account reviews to identify any suspicious activity.
- Any other duties assigned from time to time by the Company’s Head of Compliance or Senior Management.
- Conduct compliance reviews and monitoring activities to ensure adherence to internal policies and regulatory requirements.
- Handle client complaints effectively, ensuring timely and satisfactory resolution. Develop and implement dispute resolution strategies to address client concerns.
- Assist in the development and implementation of compliance frameworks, policies, and procedures.
- Ensure employees understand and comply with internal policies through education and guidance.
- Stay updated on regulatory developments and provide advice to internal stakeholders.
- Support the preparation of regulatory filings and responses to inquiries.
- Participate in compliance risk assessments and provide input on mitigation measures.
- Investigate and resolve compliance incidents, maintaining detailed records.
- Assist in organizing compliance training sessions.
- Act as a point of contact for compliance-related queries from employees.
- Any other duties assigned from time to time by the Company’s Head of Compliance.
You have at least 3-4 yrs of senior compliance experience (for the Compliance Manager position) and 2+yrs (for the Senior Compliance Officer position) within Financial Services ideally from a CFD or Securities broker with strong understanding of regulatory frameworks and compliance best practices.
You also have:
- Strong Computer literacy skills
- Excellent communication skills and relationship building skills
- Hardworking and motivated attitude
- Full working rights for Australia (Citizen or Permanent resident)
- Fluent verbal and written English (Additional languages are an advantage)
If this sounds like the job for you, please apply now and a member of our team will contact you for a confidential chat.
24 Mar 2025;
from:
uworkin.com