Compliance Manager
vor 2 Wochen
Compliance & Risk (Banking & Financial Services)
As a Compliance Manager, you will be the principal liaison for the business concerning all regulatory and compliance matters.
Your key responsibilities will include:
- Prepare and review regulatory documents to ensure compliance with AFSL obligations;
- Set up and run a comprehensive compliance risk assessment and monitoring programme;
- Keep abreast of the latest regulatory developments and updates;
- Develop and maintain robust policies, procedures, systems, and controls to identify, mitigate, manage, and prevent regulatory risks;
- Manage the AML/CTF compliance framework of the company;
- Review and ensure regulatory compliance with Financial Services Guides (FSG), Product Disclosure Statements (PDS), and other various policies;
- Serve as the primary contact for compliance-related queries, facilitating prompt resolution through effective collaboration with the broader team;
- Handle disputes and litigation (when applicable), devising strategies and procedures to mitigate risks;
- Oversee and mentor junior compliance staff to ensure quality in compliance activities;
- Organize and conduct tailored compliance and AML training across all departments;
- Pursue ongoing personal and professional development to adapt to the evolving demands of the role, including staying updated on relevant regulatory and legislative changes;
- Approve marketing materials, including financial promotions, client communications, and website content;
- Regularly assess the effectiveness of the compliance program and suggest improvements to the Board;
- Provide support and assistance to the Directors as needed;
- Perform any other ad hoc tasks as required
To succeed in this role, you will have:
- Minimum of five years in a compliance role;
- Bachelor’s degree in Economics, Law, Business, or Accounting;
- Profound knowledge of forex and CFDs;
- Current understanding of AML/CTF regulations;
- Comprehensive knowledge of regulatory compliance requirements specific to AFSL;
- Proven management skills, with a track record of fostering strong business relationships;
- Proficient in preparing executive summaries and detailed reports for senior management;
- Exceptional organizational and time management abilities;
- Experience in both internal and external dispute resolution;
- Familiarity with legal standards, controls, and industry best practices;
- Demonstrated experience in liaising with regulatory authorities.
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