Compliance Analyst - Financial Markets Trading

The Organisation & The Role

Our client is an award-winning multi-asset broker / investment FinTech that provides access to thousands of financial products across FX, CFDs, Indices, Commodities, Shares, ETFs and Bonds. They're committed to delivering a reliable and trusted trading environment, offering integrity, security, and operational excellence.

This is a new addition to their 2LoD Compliance team, to manage end-to-end regulatory compliance matters for the firm's AFSL. 

Duties & Responsibilities

• Conduct compliance monitoring and assurance reviews to ensure adherence to AFSL obligations and regulatory requirements.
• Ensure the firm complies with Corporations Act and ASIC Regulatory Guidelines. 
• Identify, assess, and investigate compliance incidents and breaches, including ASIC reportable situations where required.
• Update compliance policies / procedures / frameworks in line with regulatory changes. 
• Develop and deliver compliance education and awareness activities that strengthen understanding of regulatory obligations across the business.
• Review marketing documents to ensure they remain accurate and compliant.
• Manage complaints and dispute resolution in line with ASIC and AFCA requirements.
• Support internal audits, regulatory reviews, and ASIC enquiries.

Key Requirement

• 3+ years of hands-on experience in a compliance, risk, regulatory or governance role with an AFSL licensee. 
• Strong understanding of AFSL obligations, ASIC regulations, the Corporations Act 2001, and AML/CTF requirements.
• Skilled in compliance monitoring, breach management, risk assessments, policy development and complaints resolution. 
• Open-minded, adaptive and collaborative - passionate about learning and getting your hands dirty.
• Experience in trading /broking is highly regarded.

To Apply
 
Please click 'Apply' and submit your CV. For a confidential discussion please contact Eugena Gong at eugena.gong@talentweb.com.au