Compliance Manager

Vantage; City of Melbourne; On-site; AUD 120,000 - 180,000; Full time

Job summary

Vantage seeks a Compliance Manager in Sydney or Melbourne to oversee regulatory compliance across FX/CFD activities, ensuring adherence to ASIC requirements, the Corporations Act 2001, and AML laws. You will develop policies, conduct audits, and lead training to mitigate risk.

Ideal candidates have a Bachelor’s degree and proven experience in compliance/risk roles within financial services, with FX/CFD familiarity and strong communication abilities to liaise with regulators and internal teams.

Qualifications

• Bachelor’s degree in law, finance, business or related field.
• Experience in a compliance, risk management, or regulatory role.
• Strong knowledge of ASIC regulations, the Corporations Act 2001, AML laws.
• Experience in audits, risk assessments, and policy development.
• Experience in FX/CFD industry preferred.

Responsibilities

• Conduct compliance monitoring review.
• Completing compliance checks and preparing compliance report.
• Ensure compliance with ASIC regulations, Corporations Act 2001, AML laws, and other relevant financial regulations.
• Develop, review, and update compliance policies and procedures to reflect regulatory change.
• Conduct internal audits and compliance reviews to assess adherence to regulatory requirements.
• Assist in preparing reports and filings required by ASIC and other regulatory bodies.
• Identify, assess, and mitigate compliance risks within the organization.
• Implement corrective actions for any non-compliance issues and work with internal teams to improve compliance control.
• Provide compliance training to employees to ensure awareness of regulatory obligation.
• Advise management and key stakeholders on compliance risks and best practice.
• Maintain comprehensive compliance records, reports, and documentation.
• Assist in preparing compliance-related reports for senior management and regulatory authorities.

Skills

Compliance monitoring

Risk management

Regulatory knowledge

Auditing

Policy development

Analytical thinking

Communication

Stakeholder liaison

Attention to detail

Education

Bachelor's degree in law, Finance, Business

Job description

Join our team in Sydney or Melbourne as a Compliance Manager.

Due to the nature of the role, relevant compliance experience in the FX/CFD industry is a must.

Company Description

Vantage is a global multi-asset brokerage firm based in Sydney, licensed by the Australian Securities and Investments Commission (ASIC).Our commitment is to provide a robust trading environment, complemented by a fast and user-friendly trading platform, enabling our clients to capitalize on trading opportunities efficiently.

Key Responsibilities

• Conduct compliance monitoring review.
• Completing compliance checks and preparing compliance report.
• Ensure compliance with ASIC regulations, Corporations Act 2001, Anti-Money Laundering (AML) laws, and other relevant financial regulations.
• Develop, review, and update compliance policies and procedures to reflect regulatory change.
• Conduct internal audits and compliance reviews to assess adherence to regulatory requirements.
• Assist in preparing reports and filings required by ASIC and other regulatory bodies.
• Identify, assess, and mitigate compliance risks within the organization.
• Implement corrective actions for any non-compliance issues and work with internal teams to improve compliance control.
• Provide compliance training to employees to ensure awareness of regulatory obligation.
• Advise management and key stakeholders on compliance risks and best practice.
• Maintain comprehensive compliance records, reports, and documentation.
• Assist in preparing compliance-related reports for senior management and regulatory authorities.

Key Qualifications & Experience

• Bachelor’s degree in law, Finance, Business, or a related field.
• Experience in a compliance, risk management, or regulatory role.
• Strong knowledge of ASIC regulations, the Corporations Act 2001, AML laws, and financial services compliance.
• Experience in conducting audits, risk assessments, and policy development.
• Excellent analytical and problem-solving skills with strong attention to detail.
• Ability to interpret and apply complex regulatory requirements effective.
• Strong communication skills with the ability to liaise with internal teams and regulatory bodies.
• The ideal candidate will have experience, either prior or current, in the FX/CFD industry.

Please note: Only Australian citizens, permanent residents, or individuals with full working rights in Australia will be considered.