Compliance Operations Officer
Core
Embed risk-based controls to support Capital.com's regulated expansion in Australia, acting as an operational bridge between front-line teams and regulators for OTC-derivatives.
Role type
Senior IC compliance operations officer (financial services)
Builds
Regulated OTC-derivatives trading platform
Domain
Financial services / OTC derivatives / Australian regulatory framework
Deliverable
production ML models | product features | dashboards & analysis | client delivery
Required skills
Regulatory advisory, KYC/AML verification, policy governance, regulatory engagement, controls testing, risk assessment, compliance register management, board reporting
Preferred skills
Experience with AFSL framework, knowledge of ASIC Regulatory Guides and AML/CTF Act, familiarity with trading systems and compliance-monitoring tools
Technologies
Trading systems, compliance-monitoring tools
Responsibilities
Serve as a point of contact for policy and technical queries from operational teams; Review KYC/AML checks and verify wholesale-client categorisations; Maintain and improve the Compliance Manual and procedures; Assist in preparing and responding to ASIC, AUSTRAC, and external-audit requests; Assist with internal audits, control testing, and risk assessments; Maintain and monitor compliance registers for breaches, complaints, and incidents; Compile data-driven reports for the Compliance Committee, TMD Committee, and Board.
Seniority
Mid-level, hands-on IC
