Ancillary Areas

Our client is a market leading equity markets broking business and CFD provider. They are seeking a Compliance Officer in an independent role for their Sydney office. This is a mid-level compliance role well suited to an applicant with equity markets accounting or operations experience, with previous compliance exposure. Importantly, you must be excited about working in a position with a compliance focus.


  • 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.
  • 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 conflicts of interest are disclosed and documented appropriately;
  • Ensure all compliance records are kept in accordance with statutory requirements and obligations;
  • 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
  • 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
  • Responsible for the handling and control of Client complaints and ensuring complaints procedures are complaint with Australian standards
  • Liaise with the Due Diligence Committee regarding the creation and updating all client agreement and disclosure documentation such as PDS, FSG and SOA’s.


  • Previous compliance experience in Financial Services industry
  • Understanding of regulatory and statutory requirements (Corporation Act – financial services laws, ASIC Licensing and Regulatory, Trading Practices Act, Privacy Laws)
  • Understanding of AML requirements
  • Ability to work unsupervised

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