Senior Compliance Officer

You manage licence applications renewals variations and ongoing requirements across jurisdictions. You prepare regulatory submissions and monitor deadlines and obligations. You maintain compliance policies registers and controls assess regulatory developments conduct reviews and risk assessments and investigate potential breaches and incidents. You provide practical guidance review products and disclosures support audits conduct regulatory research lead compliance projects and guide junior colleagues.

Responsibilities

• Complete licence applications renewals variations and regulatory requirements
• Prepare licensing documentation regulatory submissions and statutory filings
• Monitor licensing status deadlines and compliance obligations
• Liaise with regulators advisers agents and corporate service providers
• Maintain compliance policies procedures registers and internal controls
• Assess regulatory developments and operational impacts
• Conduct compliance reviews risk assessments and control testing
• Investigate and report potential breaches complaints incidents and control failures
• Prepare compliance reports and regulatory information
• Coordinate audits regulatory reviews and supervisory enquiries
• Provide compliance guidance to internal departments
• Review CFD products disclosures marketing materials and process changes
• Conduct legal and regulatory research
• Lead assigned compliance projects and workstreams
• Provide technical guidance and peer review to junior colleagues
• Coordinate standards and issue escalation across jurisdictions

Requirements

• At least three years of relevant compliance regulatory or legal experience
• Experience applying Australian regulations to CFDs forex OTC derivatives leveraged trading or online broking
• Strong knowledge of AFSL obligations and the Australian retail OTC derivatives and CFD framework
• Practical experience with DDO TMD breach reporting complaints AFCA AML CTF client money disclosure or marketing compliance
• Strong regulatory judgement drafting communication and stakeholder management skills
• Professional spoken and written English and Mandarin
• Broader AFSL regulatory or financial services legal experience is advantageous
• Relevant legal compliance risk or finance qualifications are desirable

Benefits

• Performance-based bonus opportunities
• Flexible working arrangements
• Health and wellbeing benefits