Senior Compliance Officer
vor 3 Wochen
Doo Group is a global financial services group with FinTech as its core. With our 10 major business lines, spanning Brokerage, Wealth Management, Property, Payment & Exchange, FinTech, Financial Education, Health Care, Consulting, Cloud, and Digital Marketing, Doo Group has seamlessly provided clients with comprehensive products and services across the world. Through a one-stop approach, Doo Group remains committed to helping our clients achieve an ideal financial life while moving towards a better future together What you’ll be working on Oversee and support the implementation and monitoring of compliance with relevant financial regulations, including those set by the Australian Securities and Investments Commission (ASIC) and the Australian Prudential Regulation Authority (APRA) . Review, draft, and provide guidance on contracts and legal documentation to ensure compliance with regulatory requirements. Serve as the primary point of contact for ASIC and other regulatory authorities , managing correspondence and facilitating audits or inquiries. Maintain accurate records of compliance activities, prepare reports, and ensure all documentation is up-to-date and compliant with regulatory standards . Assist in the development, review, and enhancement of internal controls and compliance procedures to mitigate risk and adhere to best practices. Monitor company operations to identify and assess compliance risks , and contribute to strategies for effective risk mitigation. Act as a resource for staff on compliance-related matters, providing guidance and ensuring cross-departmental alignment. Stay informed on regulatory changes and industry standards, supporting the implementation of necessary updates within the organization. What we’re looking for Educational Background: A degree in Law, Finance, or a related field is required. Experience: Minimum 3 years of relevant compliance experience, preferably in a brokerage or financial services company . Legal Expertise: Strong legal knowledge with the ability to review contracts and interpret regulatory requirements. Regulatory Knowledge: Solid understanding of ASIC/APRA regulations and compliance processes. Skills: Exceptional attention to detail, strong analytical abilities, excellent communication and interpersonal skills, proficiency in compliance management tools, Microsoft Office, and data analysis applications. Positive, proactive, and collaborative attitude. What we offer Seeking to expand your regional work experience? Work alongside industry-leading professionals from around the globe in an environment filled with opportunities for continuous learning and growth. We reward our best employees with quarterly employee recognition awards in USD. Feeling drowsy after lunch? Take advantage of our smart pantry access and monthly tea break/lucky draw. Life as DOOers At Doo Group, we embrace a culture where continuous growth, collaboration, and creativity are at the heart of everything we do. As a DOO, you'll collaborate with top professionals from around the globe, dive into exciting projects, and play a pivotal role in shaping the future of finance. Unlock your potential with Doo Group. Apply now and step into a role where your impact is celebrated Location: Sydney, New South Wales, Australia #J-18808-Ljbffr
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AFSL Compliance Specialist
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vor 3 Wochen
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vor 21 Stunden
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