Job Overview
Summary
Australian Compliance Officer
Job Description
1、Oversee the Australia regulatory compliance and AML/CFT program under the AFS License to ensure full compliance of application laws, regulations, and guidelines.
2、Responsible for Regulator engagement and ASIC filing and reporting for financial and FX institutional brokerage services, as well as overseeing procedures and processes to meet all AFSL obligations.
3、Establish, implement and monitor compliance manual, policies, procedures and standards of operations to meet AML/CFT law and AUSTRAC requirements.
4、Manage or perform tasks such as customer onboarding, enhanced due diligence, risk profiling, sanction screening, transaction monitoring, SMR and IFTI reporting, record keeping, etc.
5、Provide oversight of the code of conduct and AFCA complaint handling compliance programs.
6、Address compliance inquiries and issues raised by management, business units and operational teams.
7、Assist with compliance testing, internal and external audits, and regulatory exams.
Qualifications & Skills
1、College Degree or above in related area
2、Minimum of 5 years’ management experience within a FX/Payments industry or a similar regulated organization.
3、Experience dealing with Australia regulators, ASIC, AUSTRAC and AFCA.
4、Familiarity with ASIC and FX institutional brokerage, AUSTRAC AML/CFT and Sanctions compliance requirements
5、Experience in AUSTRAC reporting, ASIC regulatory reporting, written supervisory procedures, internal inspections, books and records requirements – all considered valuable.
6、Compliance experience dealing in Financial Institution with a focus on derivatives products would be preferred.
7、Possess sound knowledge of Australia regulatory environment, with experience in regulatory and risk requirements/controls on Contract-for-difference (CFD) trading, AML/CFT and application laws.
8、Hands-on experience managing complex compliance program at a financial institution, fintech, or payment-focused company.
9、Proven problem solving skills, and the ability to provide efficient solutions in complex situations to drive shared goals.
Company Descriptions
Cross-border Payment
