Compliance Officer

JS Careers Pty; Sydney; On-site; AUD 90,000 - 130,000; Full time

Job summary

JS Careers Pty in Sydney is seeking a Compliance Officer for Financial Markets on a max term contract. The role covers trade surveillance, AML/CTF, monitoring, incidents and regulatory projects.

You will work with the CCO and trading desk across AU and international markets, including digital assets, and support regulatory matters. This is an opportunity to gain breadth across financial markets compliance, surveillance and governance within a growing fintech environment.

Qualifications

• 2+ years' compliance experience in financial services or trading
• Trade surveillance experience highly preferred
• Experience across AML/CTF transaction monitoring
• Exposure to digital assets or a strong interest in the space
• Surveillance systems experience (e.g. NASDAQ SMARTS) advantageous
• Strong analytical, communication and stakeholder management skills

Responsibilities

• Conduct trade monitoring and surveillance across AU and international markets and digital assets
• Work closely with the Trading Desk on surveillance matters
• Undertake AML/CTF transaction monitoring and compliance testing
• Manage compliance incidents, breaches and registers
• Assist with complaints and regulatory matters
• Work closely with Trading, Product, Client Services and global Compliance teams

Skills

Trade surveillance

AML/CTF monitoring

Regulatory knowledge

Stakeholder management

Analytical skills

Tools

NASDAQ SMARTS

Job description

Compliance Officer - Financial Markets - Max Term Contract

Join a growing financial services business operating across online trading, global financial markets and digital assets.

This is a broad Compliance role working closely with the CCO across trade surveillance, AML/CTF, compliance monitoring, incidents & breaches and regulatory projects.

The Role

• Conduct trade monitoring and surveillance across AU and international markets and digital assets
• Work closely with the Trading Desk on surveillance matters
• Undertake AML/CTF transaction monitoring and compliance testing
• Manage compliance incidents, breaches and registers
• Assist with complaints and regulatory matters
• Work closely with Trading, Product, Client Services and global Compliance teams

About You

• 2+ years' Compliance experience within a financial services / trading environment
• Trade surveillance experience highly preferred
• Experience across AML/CTF transaction monitoring
• Exposure to digital assets or a strong interest in the space
• Surveillance systems experience (e.g. NASDAQ SMARTS) advantageous
• Strong analytical, communication and stakeholder management skills

The Opportunity

A rare opportunity to join a growing fintech where you'll gain genuine breadth across financial markets Compliance, work closely with senior stakeholders and develop your experience across trading, surveillance, AML and regulatory compliance.