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April

Compliance Manager (Financial Services)

ThinkMarkets - Melbourne, VIC

Banking & Finance
Source: uWorkin

JOB DESCRIPTION

ThinkMarkets is a global online brokerage firm, specializing in providing multi-asset trading solutions to thousands of clients around the world. With our flagship ThinkTrader platform, we allow our clients to trade the world 24-hours a day. Our mission is to disrupt the brokerage industry by allowing access to global markets and thousands of products to allow our clients to trade the world in the palm of their hand. We use the latest technologies to give traders seamless access to our proprietary trading platforms. 


ThinkMarkets is seeking a motivated and professional Compliance Manager (Financial Services) to join our rapidly growing workforce in Melbourne. The Compliance Manager will be responsible for all domestic compliance matters as well as providing strategic, regulatory, and governance advice to the company as a whole. The Compliance Manager will be directly involved in overseeing the day-to-day compliance function of the Australian region. Apart from a significant compliance background, the ideal candidate should have direct work experience in the financial services industry, specifically within the trading sector.


Responsibilities: 

  • Lead, support, and develop the Compliance team in Australia
  • Advise and engage the business on Australian Compliance for AFSL licensed entities
  • Keep abreast of regulatory changes and effectively communicate such changes to the business as well as analyze organizational impact and resulting actions 
  • Develop, implement, and maintain various policies, procedures, and controls reflecting the business’ regulatory and conduct obligations as it relates to OTC Derivative issuers and securities businesses
  • Manage the Australian Compliance frameworks, including Compliance monitoring plans, ensuring the plans remain relevant and are fully operational having regard to relevant regulatory risks 
  • Manage internal and external dispute resolution procedures 
  • Engage with and maintain a strong relationship with local regulators 
  • Provide regular compliance reports to senior management and the board.
  • Provide assistance in respect of external regulatory investigations, as required 
  • Collaborate with Group Compliance Officer, Regulators, and Legal Department
  • Assist in the designing and implementation of all administrative processes and procedures to adhere to company policy 


Requirements: 

  • Higher education degree in Legal studies; Master’s degree or above is desirable 
  • Minimum 5-7 years, post-qualification experience in a financial services environment 
  • Strong working knowledge of Australian financial services, regulations, and requirements 
  • Experience working within Australian CFD, Margin FX industry, and Equities
  • RG146 certification is mandatory
  • ACAMS Certification or similar AML Training
  • Working experience with corporate governance matters and securities law 
  • Demonstrated experience in and passion for financial regulations, compliance, and technology