Senior Compliance Officer

Overview:

Report to: Head of Compliance - Sydney, Australia

Company Overview:

Connecting clients to markets – and talent to opportunity.

With 4,500+ employees and over 300,000 commercial, institutional, payments, and retail clients, we operate from more than 70 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors.

Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing

Business Segment Overview :

Corporate: Engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you’ll have the opportunity to optimize processes and implement game-changing policies.

Responsibilities:

Job Purpose

To support and assist the Head of Compliance with all day-to-day functions and operations. To ensure the firm has robust controls around anti-money laundering, terrorist financing, fraud and anti-bribery and corruption in order to remain compliant and meet the requirements of all appropriate regulations and legislation.

To support and assist the Head of Compliance to establish a Compliance culture as part of an international operation, through local training, implementation of local and global policy, the prompt reporting of information to management and identifying risks and establishing controls for the first, second and third lines of defence.

As the business is international, there are elements of the role that may need to be performed outside of the typical working day. The role-holder will therefore be required to be flexible in their approach to working hours.

Primary duties will include:

• Undertake monitoring activity (e.g. as detailed in the Compliance Monitoring Programme “CMP”) in a timely and accurate manner. Ensure monitoring alerts escalated by other business units are investigated and any reporting is done promptly.
• Ensure matters that require escalation are notified to the Head of Compliance or in his absence Regional Heads of Legal and Compliance in a timely and effective manner.
• Maintain an awareness of Australian regulations in respect of general compliance and their implications upon the business activities of the firm, which are mainly Retail OTC CFDs (contracts for differences) as well as Institutional Brokerage for grains and dairy products (exchange-traded and OTC).
• Review regulatory guidance and change, assessing its impact upon the firm. Summarise and distribute outputs with proposals for required actions.
• Provide advice on application of ASIC regulatory rules and policy
• Carry out monitoring and surveillance under the AML/CTF program, including suspicious transaction reporting.
• Approve financial promotions
• Provision of regulatory training to the business
• Responsible for the review of customer complaints and responses
• Knowledge of Data Protection issues
• Knowledge and overview of transaction reporting
• Develop relationships with key business management and through pro-active involvement raise the profile of the compliance function
• Maintain a high level of conduct, ethical standards and values
• Work to identify risks and enhance control across the business
• Report control weaknesses, illegal, suspicious or unusual activity
• Maintain an appropriate level of competence through ongoing training, making requests for updates or development as required

Qualifications:

To land this role you will need:

• Good IT skills to an advanced level in PowerPoint, Excel and Word
• The ability to judge and recognise the necessity to escalate issues effectively
• Ability to communicate with all levels of the business
• Attention to detail and an analytical mind.
• Excellent organisational and time management skills, the ability to process demanding workflow and/or ad hoc projects within required timescales.
• Ability to work under pressure
• Knowledge of the Corporations Law and ASIC regulatory rules
• 5 years of working in compliance in a retail environment
• English and Mandarin speaking and writing.

What makes you stand out:

• 5 years of working in compliance in a retail environment
• Bachelor’s degree or equivalent
• RG146 compliant
• Ability to work within a team, with the minimum of supervision on standard tasks
• Knowledge of CFDs and margined FX.

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