We are currently working with a leading financial services organisation within the CFD, FX and Stockbroking industry looking to grow their compliance team. You will be part of a lean team getting exposure to broad compliance activities. Reporting to the Head of Compliance, some of your responsibilities will include: Delivering compliance monitoring and reporting insights to senior management Ensuring compliance with ASIC and relevant regulations including conducting compliance reviews Overseeing the effectiveness of AML/CTF program in line with AUSTRAC standards Maintaining and uplifting compliance frameworks, policies and procedures Managing internal and external dispute process Reviewing marketing and sales materials for regulatory compliance Assisting regulatory inspections and audits Drafting and facilitating compliance training across the business We’re looking for: Circa 3-5 years compliance experience within financial services Background in stockbroking, CFDs, FX, equities, derivatives ideal Strong communication skills and confidence dealing with stakeholders and regulators Proactive, hands-on approach and comfortable working in a lean team Relevant tertiary qualifications If you would like to learn more, please send your CV through to Jerin Chowdhury at PX Resources (jerin@pxresources.com.au) or apply directly via the APPLY button.
