Compliance Officer

A role offering broad exposure across the business and the chance to drive real impact

Your new company

Global Financial services market participant who are in strong growth mode and expanding in Australia and globally. They cover products such as Equities, Options, ETFS, Margin Lending for leading markets.

Your new role

This position offers exposure across both traditional financial markets and digital assets, supporting two regulated entities under a global parent company. Key responsibilities include:
  • Conducting monitoring and surveillance across multiple markets including equities and cryptocurrencies
  • Performing AML/CTF transaction monitoring and supporting regulatory obligations
  • Collaborating with cross-functional teams—Trading, Client Services, Product, Finance, and Marketing—to embed compliance into business operations.
  • Undertaking manual gap analysis and peer review, working with the business to implement remediation
  • Working closely with senior leadership and providing advice to the business on new products and services
  • Managing compliance registers and reporting incidents and breaches
  • Supporting complaints handling and liaising with external dispute resolution bodies
  • Engaging with global compliance teams and contributing to strategic projects
.

What you'll need to succeed

  • Minimum 2 years’ compliance experience in a financial services firm involved in trading
  • Exposure to digital assets or a strong interest in the space
  • Experience with surveillance systems
  • AML/CTF transactional monitoring experience
  • Ideally, prior experience engaging with regulators such as ASIC, ASX, Cboe, and AUSTRAC
  • Strong interpersonal, written, and communication skills with high attention to detail
  • Ability to draft policies and procedures
  • A naturally inquisitive mindset suited to surveillance and manual testing
  • A genuine passion for compliance and a keen interest in fintech innovation & evolving consumer engagement strategies

What you'll get in return

A growing market participant in Australia, with a unique opportunity to work with a senior leader in a newly created role, at an exciting time to join a company which has offices in global locations. This role offers exceptional exposure across the organisation and in this fast-paced, innovative fintech landscape. You'll have the opportunity to make a real impact, working closely with senior management, regulators, and industry bodies. With strong mentoring and guidance, it's a chance to grow professionally while contributing meaningfully to a rapidly evolving business. The role offers lots of breadth, meaning you get to see the whole picture of compliance in the firm whilst working in a small, engaging team.

What you need to do now

If you're interested in this role, click 'apply now' or forward an up-to-date copy of your CV to fiona.russell@hays.co.au or call 02 8226 9674



LHS 297508

Summary

Job Type
Permanent
Industry
Banking & Financial Services
Location
NSW - Sydney CBD
Specialism
Banking
Ref:
2955595

Talk to a consultant

Talk to Fiona Russell, the specialist consultant managing this position, located in Sydney
Level 13, Chifley Tower, 2 Chifley Square

Telephone: 0282269674

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