Senior Compliance Officer
Core
Senior Compliance Officer supporting Australian and global CFD/forex trading operations, ensuring regulatory adherence and risk management.
Role type
Senior IC compliance officer (financial services)
Builds
Regulatory compliance framework and risk controls for CFD/forex trading platform
Domain
Financial services / CFD and Forex trading / Australian regulatory framework
Deliverable
client delivery
Required skills
AFSL obligations knowledge, regulatory judgement, compliance monitoring, risk assessment, legal research, policy development, breach reporting, AML/CTF compliance, stakeholder liaison
Preferred skills
DDO/TMD experience, AFCA matters, commercial agreement review, project leadership
Technologies
N/A
Responsibilities
Complete licence applications and regulatory filings; monitor regulatory deadlines and compliance obligations; liaise with regulators and external advisers; maintain compliance policies and internal controls; conduct compliance reviews and risk assessments; support audit and supervisory enquiries; provide compliance guidance to internal departments; review CFD products and marketing materials for compliance; conduct legal research on regulatory matters; lead compliance projects; provide technical guidance to junior team members.
Seniority
Senior, hands-on IC
