Compliance Analyst
- Manage end-to-end regulatory compliance matters for the firm''s AFSL.
- Conduct compliance monitoring and assurance reviews to ensure adherence to AFSL obligations.
- Develop and deliver compliance education and awareness activities.
The Organisation & The Role
Our client is an award-winning multi-asset broker / investment FinTech that provides access to thousands of financial products across FX, CFDs, Indices, Commodities, Shares, ETFs and Bonds. They're committed to delivering a reliable and trusted trading environment, offering integrity, security, and operational excellence.
This is a new addition to their 2LoD Compliance team, to manage end-to-end regulatory compliance matters for the firm's AFSL. The role plays a crucial role to ensure the firm complies with Corporations Act and ASIC Regulatory Guidelines.
Duties & Responsibilities
- Conduct compliance monitoring and assurance reviews to ensure adherence to AFSL obligations and regulatory requirements.
- Identify, assess, and investigate compliance incidents and breaches, including ASIC reportable situations where required.
- Review marketing documents to ensure they remain accurate and compliant with RG 234 requirements.
- Manage complaints and dispute resolution process in line with ASIC RG 271 and AFCA requirements.
- Update compliance policies / procedures / frameworks in line with regulatory changes.
- Develop and deliver compliance education and awareness activities that strengthen understanding of regulatory obligations across the business.
- Support internal audits, regulatory reviews, ASIC enquiries, and ad hoc projects.
Key Requirement
- 3+ years of hands-on experience in a compliance, risk, regulatory or governance role with an AFSL licensee.
- Strong understanding of AFSL obligations, ASIC regulations, the Corporations Act 2001, and AML/CTF requirements.
- Broad knowledge of Design and Distribution Obligations (DDO) and Target Market Determination (TMD).
- Some hands-on experience in assessing and managing compliance breaches, complaints resolution (IDR & EDR), marketing / PDS compliance.
- Open-minded, adaptive and collaborative - passionate about learning and getting your hands dirty.
- Experience in OTC derivatives is highly regarded.
- Chinese Mandarin proficiency is mandatary.
To Apply
Please click 'Apply' and submit your CV. For a confidential discussion please contact Eugena Gong at ****************************
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