Senior Compliance Associate

Australia, Sydney

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.

If you feel the above describes you
perfectly- Apply now!

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