Compliance & Operational Risk Manager

Cmc Markets Asia Pacific Pty Ltd; New South Wales; On-site; AUD 80,000 - 100,000; Full time

Job summary

A leading financial services company in New South Wales is seeking a Compliance Officer to manage regulatory relationships and develop risk-based monitoring programs. The ideal candidate will have 1-3 years of compliance experience within the Australian financial sector. You will gain exposure to both CFD and stockbroking compliance, with a focus on regulatory monitoring and training. Join a collaborative culture with great employee benefits, including additional leave and zero trading fees for staff accounts.

Benefits

Additional annual leave entitlements

$0 trades for staff accounts

Continuous learning opportunities

Wellbeing resources and retailer discounts

Office perks such as free breakfast

Qualifications

• 1-3 years of experience in a Compliance role within the financial services industry.
• Solid understanding of ASIC regulations and ASX Rules.
• Experience in monitoring and regulatory reporting.

Responsibilities

• Develop and execute risk-based monitoring programs.
• Manage regulatory relationships and prepare submissions.
• Deliver compliance training and shape the compliance culture.

Skills

Understanding of the Australian regulatory landscape

Strong written and verbal communication

Analytical mindset

Organizational skills

Education

Tertiary qualification in Economics, Law, Business, or related discipline

Job description

If you also believe that everyone should be able to achieve their financial potential, then you’ll love contributing to CMC Markets’ company vision of providing the ultimate trading experience. Seize the opportunity to progress your career in the fintech industry by joining a global leader in CFD trading and share investing. Grow yourself personally and professionally with a company that’s growing with you, by global expansion and product offering.

This role offers something rare in compliance : genuine variety and visibility. You'll wake up to different challenges each day from developing risk-based monitoring programs to advising on cutting-edge business initiatives, from managing regulatory relationships with ASIC and ASX to training teams across the organisation. Your work will span our entire business footprint, giving you unparalleled exposure to how a global financial services company operates at scale.

You'll develop deep expertise across both CFD and stockbroking compliance. The cross-jurisdictional exposure and global project work will accelerate your professional growth far beyond what a typical compliance role offers.

Why You'll like working here

Just some of the reasons you’ll love working here include :

• Leave benefits : Accrue 5 additional annual leave entitlements each year called My Days, as well as enjoying 5 extra annual leave days once you pass 12 months. Enjoy your birthday off to spend time with family and friends, on us! Utilise a free annual charity day to give back to your community.
• $0 Trades : Staff & family trading accounts with CMC Markets Invest have access to the best brokerage rates in the market - $0 trades for all domestic and international equity orders!
• Continuous learning : Our L&D offering covers both technical and performance training, ensuring you're always learning new skills.
• Unlimited access to a dedicated benefits & wellbeing hub where you can save money through various retailer discounts, and make use of a variety of resources that will enhance your physical and mental wellbeing
• Collaboration : We believe that great things happen when smart people work together, that’s why we’ve made the decision to work five days in the office.
• Office perks : Help yourself to free breakfast cereals, condiments, and coffee to fuel your workday. Our culture club provides opportunities for everyone whether you’re into fitness, pizza making classes, socialising or bringing out your competitive side in trivia or lawn bowls!

What you’ll be working on

Your days will be dynamic and impactful. You'll develop and execute our risk-based monitoring program, conducting regular reviews across our CFD and stockbroking businesses to identify issues before they become problems. When compliance matters do arise, you'll be the trusted problem-solver who ensures incidents are properly recorded, investigated, and resolved.

You'll manage critical regulatory relationships, preparing timely submissions to ASIC and ASX while coordinating responses to regulatory audits and ad-hoc information requests. Your analytical skills will shine as you deliver both scheduled and urgent compliance reporting to senior leadership.

The role extends beyond monitoring; you'll actively shape our compliance culture. You'll design and deliver training programs that help colleagues across the business truly understand their regulatory obligations. You'll advise on business initiatives and projects, ensuring compliance considerations are built in from the start rather than bolted on at the end.

You'll also support the daily heartbeat of our compliance function : tracking regulatory changes, maintaining key registers and procedures, coordinating internal and external audits, and working with our legal team to keep all terms and conditions current.

What will help you be successful?

You’ll bring 1-3 years’ experience in a Compliance role within the Australian financial services industry. You’ll have a solid understanding of the Australian regulatory landscape, including ASIC regulation, ASX Rules, and regulatory reporting requirements, and be comfortable supporting change in a fast-moving regulatory environment.

You’re tertiary qualified in Economics, Law, Business, Accounting, or a related discipline, with working knowledge of stockbroking and CFD operations and systems. You’ll also have strong written and verbal communication skills, an analytical mindset, and a highly organised, self-motivated approach to your work.

You must have full working rights in Australia.

The things we live by

CMC Markets is powered by our people. We are an equal opportunities employer and are committed to creating a diverse and inclusive workplace, where our people feel confident to be themselves, feel valued and are able to do their best work. We don’t just value differences and unique perspectives, we seek them out and we invite them in, because we know it will lead to better outcomes for everyone

Click on the link to find out more about the things we live by at CMC Markets CMC Markets - Culture Video

We’re always on the lookout for great people, so even if you don’t feel you are a 100% fit, apply with your up-to-date CV and we’ll consider you for this role and any other suitable opportunities across the business.

We look forward to hearing from you!

Please be vigilant when applying for jobs online. CMC Markets will never request personal identification details, such as Date of Birth or Tax File Number prior to an offer being made. If your initial application is successful, regardless of whether you've applied directly or through an approved recruiter, you will always liaise with a representative from CMC's Talent Acquisition team. We will only discuss a role you have formally applied for via phone or email (CMC Markets email address); and never via Facebook