Sharp And Carter | Head Of Compliance
vor 3 Wochen
Compliance & Risk (Banking & Financial Services)
Full time
About Our Client:
Our client, headquartered in Melbourne, is an industry leader with a vision to revolutionise trading.
With a commitment to providing traders around the world with cutting-edge technology and exceptional client experiences, our client has become a prominent player in online Forex and CFD trading.
Their success is driven by a blend of innovative technology, low-cost pricing, and an unwavering focus on client satisfaction.
They foster a culture that values diversity, inclusivity, adaptability, progressiveness, collaboration, and results-driven client support.
Role Responsibilities:
Develop and deliver on the strategy for the Australian Compliance function Maintain and enhance the Compliance Management Framework to create an integrated, strategic, and consistent approach to managing compliance obligations Ensure the effective and timely delivery of compliance activities Provide informative compliance advice in a timely manner to management and staff, ensuring an appropriate and timely two-way flow of information between Compliance and the business Work with the Regional Head of Compliance to identify, assess, and mitigate the impact of current and future legislative and regulatory requirements Manage regulatory communications and engage with stakeholders such as the wider Legal, Compliance & Risk team Develop and enhance the Compliance Monitoring Program, including routine compliance monitoring of key regulatory obligations and business processes Prepare and develop accurate and meaningful management information for compliance reports delivered to the entity's Board and Compliance Committee Ensure there are adequate, updated, and sufficiently detailed compliance and regulatory policies and procedures in place If required, act as the MLRO or assist the designated MLRO to ensure compliance with regulatory requirements in Anti-Money Laundering, the prevention of Financial Crime and Fraud, Anti Bribery and Corruption, and sanctions issues Ensure completion of designated regulatory reporting obligations Complete assessments of compliance incidents and breaches Assist with the content and management of regulatory disclosure and legal documents Manage and coordinate compliance education and provide training sessions as required Keep current with new or changing legislative requirements Complete all mandatory training as required to attain and maintain competence Lead, manage, and develop team members Assist with audits and work with internal and external consultants and advisors Collaborate with the wider Compliance team in international offices to implement shared initiatives About You:
Relevant tertiary degree or equivalent proven experience Minimum 8 years regulatory compliance experience, with AML/CTF experience Excellent knowledge of key Australian financial services legislation, with solid knowledge of AML/CTF and Privacy/Data Protection CFD & Forex industry experience is a distinct advantage Ability to interpret regulatory policy and establish solutions for its implementation Demonstrated experience in developing, implementing, and managing compliance and AML/CTF frameworks Demonstrated people leadership experience in a financial services regulatory role Strong business acumen with the ability to balance risk appetite with commercial objectives Demonstrated ability to effectively plan, prioritize, and manage resources Strong organizational and time management skills Able to work autonomously, problem solve, and drive outcomes Analytical mind and excellent problem-solving skills Aptitude to work in a fast-paced and dynamic environment Exceptional verbal and written communication skills Demonstrated ability to build and maintain stakeholder relationships Excellent interpersonal and influencing skills Highly motivated, flexible, and positive with a strong drive to succeed Proficient in using a range of technologies and ability to adapt to new technologies The Following Would Be Highly Regarded:
Experience working across geographies and time zones Regulatory knowledge or experience in other jurisdictions ICA, CISI, ACAMS, or other GRC or AML qualifications Previous designation as AML/CTF Compliance Officer/MLRO Job Type + Location:
The preference is for the role to be based in Melbourne; however, they are also open to considering someone on a fully remote basis, provided there is a preparedness to travel.
Open to 4 days a week for the right candidate.
How to Apply:
To apply online, please click on the appropriate link below.
Alternatively, email Adam Kumaraswamy at
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