Role & Department
We are looking for a Senior Compliance Associate for our site in Australia to assist with the development, implementation, and maintenance of a robust and effective compliance framework in order to ensure the Company’s compliance with legal and regulatory requirements.
What you'll be doing
- Assist in the compliance risk assessment process ensuring that all compliance risks are appropriately identified, assessed, reported and monitored.
- Maintain a good understanding of the relevant regulatory requirements and provide advice and guidance to the various departments.
- Keep abreast and review of new and amended regulations and advise on necessary actions to be taken.
- Assist in the preparation of periodic and other reports to be submitted to the Australian Securities and Investments Commission.
- Assist in the development and implementation of a risk-based compliance monitoring program.
- Develop and implement ongoing monitoring procedures for Corporate Authorised Representative arrangements.
- Conduct reviews/audits of departments, key business and other processes and activities to ensure the continued adherence to and effective implementation of policies, procedures and regulations.
- Develop, maintain and update of compliance and AML manuals, policies, procedures and controls and ensure their compliance with the relevant laws and regulations.
- Identify, examine and report suspicious activities related to money laundering and terrorist financing.
- Provide training to employees on compliance-related matters, including internal policies and procedures, the application of guidelines and standards and relevant regulatory requirements, promoting and enhancing a strong company-wide compliance culture.
- Managing Regulatory communications and any other ad-hoc tasks as may requested by the Chief Compliance Officer
What you'll bring
- University Degree in Law, Business, Accounting, Finance, Economics or a relevant field
- Possession of a compliance certificate or ASIC examinations (such as RG146) will be considered an advantage
Knowledge and Experience
- At least 3 years of relevant experience in a similar role and exposure with ASIC regulated entities
- Previous experience in the Financial Services industry will be considered an advantage
- Very good knowledge of the regulatory regime for financial markets and investment firms under ASIC
- Experience with FCA, BAFIN, or ASIC regulations will be considered a strong advantage
- Previous working experience in Dealing Desk operations will be considered a strong plus
- Fluency in English
- Computer literate
- Dynamic, hands-on and results-driven
- Commercial orientation and awareness
- Practical approach in understanding and applying regulatory requirements
- Ability to work under pressure and meet tight deadlines
- Self-motivated with an ability to work autonomously
- Team player
- Willingness to travel abroad
Who we are
Finalto Financial Services is a FCA regulated investment firm with offices around the world. The company provides multi-asset execution, prime brokerage, and trading technology solutions for institutional and retail clients. It is one of the most respected and reputable investment venues for Tier 1 liquidity in the world, having been voted “Best Liquidity Provider” for four years running at the Finance Magnates industry awards. The firm is owned by Playtech Plc.