Senior Compliance Officer
About TMGM:
TMGM stands at the forefront of online trading and investment services, proudly serving as Chelsea FC's Official Regional Online Forex and Trading Partner in Asia Pacific. With a global presence and offices spanning three continents, TMGM has earned its reputation as a trusted CFD trading provider. We embody excellence through a commitment to regulatory compliance, technological innovation, and unparalleled customer service.
At TMGM, our vision goes beyond providing a platform for trading; we aspire to empower our clients with the best trading conditions. We leverage industry-leading and cutting-edge innovative platforms to ensure that your trading experience is nothing short of exceptional. Our relentless commitment to research and development continually pushes the boundaries of liquidity and usability, giving you the tools you need to thrive in an ever-evolving financial landscape.
About the role:
Join our Compliance team as a Senior Compliance Officer and play a key role in supporting our Australian and global operations. You’ll apply your CFD/forex regulatory expertise across licensing, AFSL obligations, compliance monitoring and strategic business initiatives in a fast-paced, international environment.
Key Responsibilities:
- Complete assigned licence applications, renewals, variations and ongoing regulatory requirements across multiple jurisdictions.
- Prepare, review and coordinate licensing documentation, regulatory submissions, statutory filings and supporting materials.
- Monitor licensing status, regulatory deadlines and compliance obligations, escalating material risks or delays where required.
- Liaise with regulators, external advisers, local agents and corporate service providers on assigned regulatory and compliance matters.
- Maintain and enhance compliance policies, procedures, registers and internal controls in line with applicable regulatory requirements.
- Monitor regulatory developments and assess their potential impact on the Company’s products, services and operations.
- Conduct compliance reviews, risk assessments and control testing to identify gaps, emerging risks and opportunities for improvement.
- Support the assessment, investigation and reporting of potential breaches, complaints, incidents and control failures.
- Prepare compliance reports, risk updates and regulatory information for management and relevant governance bodies.
- Coordinate compliance support for internal and external audits, regulatory reviews and supervisory enquiries.
- Provide practical compliance guidance to internal departments on business activities, operational processes and regulatory requirements.
- Review CFD products, client disclosures, marketing materials, business initiatives and process changes from a compliance perspective.
- Conduct legal and regulatory research and assist with the review of commercial agreements, governance documents and related legal-risk matters.
- Lead assigned compliance projects and workstreams, coordinating with relevant stakeholders to ensure timely and accurate delivery.
- Provide technical guidance and peer review to junior team members where required, without formal people-management responsibility.
- Work closely with subsidiary compliance teams to support consistent regulatory standards and timely escalation of issues across jurisdictions.
Requirements
- At least three years’ relevant compliance, regulatory or legal experience, with the capability to operate independently at Senior Compliance Officer level.
- Compliance experience applying Australian regulatory requirements to CFDs, forex, OTC derivatives, leveraged trading or online broking.
- Strong knowledge of AFSL obligations and the Australian regulatory framework applicable to retail OTC derivatives and CFDs.
- Practical experience in areas such as DDO/TMD, breach reporting, complaints and AFCA matters, AML/CTF, client money, disclosure or marketing compliance.
- Strong regulatory judgement, drafting, communication and stakeholder management skills.
- Professional proficiency in spoken and written English and Mandarin, sufficient to prepare compliance documentation and communicate effectively with Mandarin-speaking stakeholders.
- Broader AFSL regulatory or financial services legal experience will be highly regarded.
- Relevant legal, compliance, risk, or finance qualifications are desirable.
Benefits
- Competitive remuneration, including performance-based bonus opportunities.
- Opportunities to develop your expertise and progress your career within a global business.
- Broad exposure to cross-regional operations and international stakeholders.
- A collaborative, inclusive and supportive team environment.
- Flexible working arrangements aligned with role and business requirements.
- Access to health and wellbeing benefits.
Skills
As published by workable · 9 questions · 3 written answers
Basics
First name, Last name, Email, Headline, Phone, Address, Photo, Please provide your legal full name., Please provide your preferred name for work use, Are you currently living in the job location?, Do you require sponsorship for employment visa now or in the future?, Please clarify your current visa status or type of authorization to work in the job location? We want to ensure that we have all the necessary information for our records and to facilitate the employment process smoothly., Are you currently or have you ever been employed at any TMGM group or its subsidiaries?, Do you know anyone currently working at TMGM group or its subsidiaries? If yes, please provide their name(s) and relationship., Are you currently subject to a non-competition or non-solicitation agreement that could impact future employment at TMGM Group?, Please specify your current annual salary details., Please specify your expected annual base salary., When are you able to start?, Do you currently hold, or have you previously held, an account with TMGM, an introducing broker, or any affiliated broker? If yes, please provide details. This information will be used solely to assess potential conflicts of interest in line with our compliance obligations., Voluntary Disclosures :By providing the requested information below, you acknowledge that you have read, understood, and agreed to the terms of the statement. Please note that an electronic signature (e-signature) carries the same legal effect as a handwritten signature., I understand that this application does not constitute an offer of employment. If employed, my employment will be subject to the terms outlined in my employment contract, company policies, and applicable laws., By checking the box below, I acknowledge that TMGM may use the data I have provided in this application to notify me of future job vacancies that may be relevant to my skills and experience. If I prefer not to receive such notifications, I will contact careers@tmgm.com to update my records accordingly., I understand that providing false or misleading information in this application, or any supporting documents, may result in the rejection of my application or, if hired, termination of employment, subject to compliance with relevant employment laws., I verify that all the information provided in this application, including any supporting documents and resumes, is accurate, truthful, and complete to the best of my knowledge., Education, Experience, Summary, Resume, Cover letter, As part of our standard hiring process, we conduct background checks on candidates who receive a job offer. Are you comfortable with undergoing a background check as a condition of employment?, The background check may include verification of your employment history, educational background, and may also include a criminal record check. Do you have any concerns or questions about this process?, We will require your authorization to proceed with a background check. Are you willing to provide the necessary information and consent for us to conduct this check?
Short answers (2)
- Please Provide your legal name.
- What's your earliest possible start date/notice period?
Pick from a list (4)
- Are you currently living in Sydney or willing to relocate to Sydney?
- Do you currently have full-time working right in Australia?
- Do you now, or will you in the future, require sponsorship for employment visa status to work in Australia?
- Do you have professional working proficiency in reading and writing Chinese?
Written answers (3)
- Please share your LinkedIn profile.
- Please specify your Australian work-rights status (e.g. citizen, permanent resident or visa type), including any expected changes and relevant timeframes.
- Please share your experience in the CFD trading industry.