Compliance Officer
vor 3 Wochen
The Compliance Officer is responsible for leading FXCM Australia's compliance risk management program and for ensuring that the firm has risk-based policies, procedures, and controls, designed to ensure compliance with all applicable laws, regulations, policies and applicable guidance of local regulators.
They act as the primary point of contact with Australian regulatory authorities.
Principal Duties & Responsibilities including but not limited to: Support regulatory applications, maintain current regulatory licences;Compliance risk analysis;Approval of compliance manuals, policies and procedures;Understand, maintain awareness of and ensure compliance with the Australian regulatory framework and securities laws and regulations including Australian and EU laws, international and industry standards and best practices;Serve as the primary contact person for the competent authorities, such as ASIC, AUSTRAC and AFCA;Respond to ad hoc queries from the Business regarding specialist Australian compliance matters;Establish and work through compliance plans;Co-ordinate with both domestic and overseas FXCM Compliance Officers and/or MLROs on issues related to cross-border transactions and investigations;Monitor the ASIC reporting schedule for all activities of the Company (including Finance, Dealing and Customer facing (i.e.
complaints);Maintain records and reporting including incident management and complaints resolution systems;Prepare weekly, bi-weekly, monthly and quarterly reports to the Global Director of Compliance and Senior Management;Keep abreast of regulatory rule changes and developments, assess their impact and as appropriate, circulate to management to consider next steps;Provide advice to the Business on Australian regulations that impact a firm dealing in OTC products;Cooperate with the Legal Department on maintaining the company's T&Cs up to date with the relevant legislation;Oversee the remediation of non-compliance issues including timely resolution of Internal Audit findings, self-disclosed non-compliance issues, remediation commitments and the recommendations of the Compliance Monitoring Plan;Assist the Risk Officer in managing other Risk Control Processes and Activities as required;Provide compliance relevant input when entering new markets or developing new products; and,Conduct employee training.Critical & Essential Knowledge, Skills & Experience candidates should have: Essential Eligibility to work in Australia (no visa sponsorship) and living in Australia;Bachelor's Degree (Preferably in Law, Finance, Business Administration, Accounting or any AML and Compliance related career).
Masters and/or Juris Doctor preferred;Minimum 5 years/Sound previous experience in the AML and Compliance function;Good knowledge of the Corporations Act, ASIC, AFCA and AUSTRAC and other local regulatory requirements is a must;Strong interpersonal, organisation, researching and communication skills;Sound proven compliance experience or relevant department experience at an ASIC regulated firm or other financial institution;Team player and able to prioritise in a fast moving, constantly changing environment;Excellent organisational skills and ability to manage multiple tasks and meet strict deadlines;Strong computer skills and proficiency in Microsoft Word, Excel and PowerPoint.Desirable Chinese language skills;Fundamental understanding of Australian and European regulatory issues that could affect an online brokerage;Experience of communicating directly with Australian regulatory institutions;Knowledge and experience of OTC products and in particular CFDs and Forex.Professional Qualifications Qualified lawyer or other university degree (such as Business, Finance, Economics); other degrees may be sufficient if accompanied by relevant experience.Preferably ICA Certified Compliance Specialist or equivalent.All Stratos Trading PTY Limited employees must be eligible to work in Australia.
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