Wealth Management

Our client is a market leading global retail FX and equity markets broking business, with a well established Australian operation.They are currently seeking a Compliance Manager for their Sydney office.

Day to Day responsibility for all compliance issues affecting the business, in particular ensuring that the company complies with its AFS license conditions, statutory and regulatory obligations and internal policies and procedures outlined these Compliance Procedures.


Regulatory Requirements

  • Ensure the business activities comply with AFS license conditions, statutory and regulatory obligations
  • Ensure internal compliance measures including manuals, policies and procedures are continually monitored, developed and enhanced
  • Promote a compliance culture within the organization and encourage “Whistle Blowing’
  • Maintain employee and management awareness of the Compliance function, regulatory obligations and regulatory changes as they arise
  • Liaise with Departmental Managers and the Compliance Manager on compliance issues as they effect the organization


  • Complete the compliance plan requirements, monthly, quarterly, bi-annually and annually
  • Ensure regular compliance reporting to the Compliance Committee, reporting should include recommendations and proposed changes to policies and procedures
  • Maintain a breach register and ensure all or likely breaches are recorded and reported to the
  • General Manager and Compliance Manager
  • Ensure the Compliance Procedures address all Statutory requirements and obligations and is adequate to address all compliance issues
  • Ensure processes are in place to monitor and supervise staff and recruitment processes are in place to ensure new employees are of good fame and character
  • Prepare and lodge reports, documents and forms as required by ASIC and other relevant regulatory bodies when instructed by the Compliance Manager or General Manager

Representative Supervision, Monitoring and Training

  • Conduct regular training sessions to ensure employee and test representatives knowledge of compliance policies and procedures remain current
  • Conduct regular employee and representative surveillance, review, testing and auditing to ensure compliance with policies and procedures
  • Monitor the separation of duties between departments on an ongoing basis
  • Supervise and oversee authorisation of new client accounts and the application of appropriate limits
  • Responsible along with Departmental heads for overall supervision and general monitoring of employees and representatives to ensure compliance with our clients general policies and procedures

Compliance Handling Process

  • Responsible for the handling and control of Client complaints and ensuring complaints procedures are complaint with Australian standards.

Due Diligence Process

  • Liaise with the Due Diligence Committee regarding the creation and updating all client agreement and disclosure documentation such as PDS, FSG and SOA’s
  • Ensure client funds are segregated and invested in accordance with the Australian Client Money rules; and
  • Liaise with senior management to ensure risks identified relating to the provision of financial services are appropriately managed, regularly evaluated and reviewed
  • Ensure all marketing and promotional material is not misleading and contains relevant disclosures and disclaimers where necessary
  • Review of all publicly released documentation eg Marketing and Advertising, PDS etc
  • Ensure the External Compliance, AML and Risk Management Audit occurs and recommendations are dealt with in a timely manner

Essential experience:

  • Previous compliance experience in Financial Services industry in compliance and operations environments
  • Understanding of regulatory and statutory requirements (Corporation Act – financial services laws, ASIC Licensing and Regulatory, Trading Practices Act, Privacy Laws)
  • Understanding of AML requirements
  • Retail equities or retail FX trading experience

Preferred experience:

  • Legal or compliance qualification

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