Compliance Operations Officer

Capital.com; Melbourne; On-site; AUD 110,000 - 150,000; Full time

Benefits offered by this job

Competitive Salary

Work-Life Harmony

Generous Time Off

Employee Referral Program

Comprehensive Health Benefits

Workation: 30 remote days

Volunteer Days

Job summary

Capital.com in Melbourne, Australia seeks an experienced Compliance Professional to implement risk-based controls ensuring alignment with ASIC, AFSL and AML/CTF in a fast-moving OTC derivatives business.

You will oversee onboarding, policy governance, audits and reporting to committees and the Board, leveraging data to drive improvements while maintaining pace in a high-pressure trading environment.

Qualifications

• Bachelor’s degree in finance, law or related field is required or near completion.
• Experience in OTC derivatives, CFDs, FX or broader financial markets under an AFSL framework preferred.
• Hands-on familiarity with onboarding workflows and compliance-monitoring tools.
• Ability to interpret ASIC/AML/CTF guidance pragmatically.
• Experience drafting policies, testing controls and producing board-level reports.

Responsibilities

• Regulatory Advisory & Support: serve as a point of contact for policy, procedure and queries from operational teams.
• Onboarding Oversight: review KYC/AML checks and verify wholesale-client categorisations for compliant onboarding.
• Policy Governance: maintain and improve the Compliance Manual, policies and procedures per ASIC/AUSTRAC requirements.
• Regulatory Engagement: assist Head of Compliance with ASIC, AUSTRAC and external audit requests, ensuring timely submissions.
• Controls Testing & Risk Assessment: assist with internal audits, control testing and risk assessments, identify gaps and drive remediation.
• Compliance Registers Management: maintain registers for breaches, complaints, conflicts and incidents, escalate themes to leadership.
• Board & Committee Reporting: prepare data-driven reports for Compliance Committee, TMD Committee and Capital.com Board.
• Be a key contributor to the digital assets movement and help Capital.com stay ahead in a fast-moving regulatory landscape.

Skills

Regulatory Knowledge

KYC/AML

Onboarding

Policy Governance

Audits & Controls

Education

Bachelor’s degree in finance/law

AML certifications welcomed

Tools

Compliance software

Trading systems

Job description

We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.

Driving

Capital.com’s regulated expansion in Australia, you will embed practical, risk-based controls that keep our fast-moving business fully aligned with AFSL, ASIC and AML/CTF expectations. Acting as the operational bridge between front-line teams and regulators, you will ensure that compliance is not a hurdle but a competitive advantage for our OTC-derivatives offering.

Responsibilities

• Regulatory Advisory & Support: Serve as a point of contact for policy, procedure and technical queries from operational teams.
• Onboarding Oversight: Review KYC/AML checks and verify wholesale-client categorisations to guarantee compliant client onboarding.
• Policy Governance: Maintain and continuously improve the Compliance Manual, policies and procedures in line with evolving ASIC and AUSTRAC requirements.
• Regulatory Engagement: Assist the Head of Compliance with preparing and respond to ASIC, AUSTRAC and external-audit requests, ensuring timely and accurate submissions.
• Controls Testing & Risk Assessment: Assist with internal audits, control testing and risk assessments, highlighting gaps and driving remediation.
• Compliance Registers Management: Maintain and monitor registers for breaches, complaints, conflicts and incidents, escalating themes to leadership.
• Board & Committee Reporting: Compile clear, data-driven reports for the Compliance Committee, TMD Committee and Capital.com Board

Requirements

• Industry Experience: 2-4 years in compliance or regulatory roles within OTC derivatives, CFDs, FX or broader financial markets, ideally under an AFSL framework.
• Regulatory Expertise: Deep working knowledge of ASIC Regulatory Guides, the AML/CTF Act and derivative-reporting obligations, with the ability to interpret and apply them pragmatically.
• Operational Know-how: Hands-on familiarity with client-onboarding workflows, trading systems and compliance-monitoring tools; proven experience drafting policies, testing controls and producing board-level reports.
• Analytical Mindset: Detail-oriented and resilient under pressure, able to investigate issues and translate data into actionable improvements without losing pace.
• Communication & Stakeholder Management: Confident communicator who can influence internal teams and engage regulators or auditors in a high-pressure trading environment.
• Education & Credentials: Bachelor’s degree (finance, law or related) or near completion; additional compliance or AML certifications welcomed.
• Growth Mindset: Proactively identifies enhancements, champions high-quality outcomes and aligns with Capital.com’s culture of innovation.

• Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated.
• Work-Life Harmony: Join a company that genuinely cares about you -because your life outside of work matters just as much as your time on the clock.
• Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry.
• Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team.
• Comprehensive Health Benefits: We’ve got your back with a medical insurance plan. Plus, location-specific benefits and perks!
• Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
• Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.

Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.

We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.