Compliance Operations Officer
Core
Embed practical, risk-based controls to align Capital.com's regulated expansion in Australia with AFSL, ASIC, and AML/CTF expectations for OTC-derivatives.
Role type
Compliance Operations Officer
Builds
Regulated OTC-derivatives offering
Domain
Financial Services / Regulatory Compliance
Deliverable
client delivery
Required skills
Regulatory advisory, KYC/AML verification, policy governance, regulatory engagement, controls testing, compliance registers management, board reporting
Preferred skills
Experience with AFSL framework, knowledge of ASIC Regulatory Guides and AML/CTF Act, familiarity with trading systems
Technologies
Compliance-monitoring tools
Responsibilities
Serve as a point of contact for policy and technical queries; 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; Compile data-driven reports for the Compliance Committee and Board