At ACY Securities we offer our clients state of the art trading technology and educational resources that are suitable for both beginners and experienced traders.
This is an exceptional opportunity for a compliance professional to take the next step forward in their career. Working closely with the CEO and CRO of the company, you will have the unique opportunity to establish the Compliance function for the organisation.
Your Main Responsibilities:
Support regulatory applications, maintain current regulatory licences & compliance risk analysis;
Approval of compliance manuals, policies and procedures;
Coordinate review of existing, new and proposed regulations that are relevant to the firm and communicate to the appropriate business lines
Serve as primary contact person for the competent authorities, Provide advice, recommendation and respond to ad hoc queries from the Business regarding specialist Australian compliance matters;
Maintaining records and reporting including incident management and complaints resolution systems;
Oversees the remediation of non-compliance issues including timely resolution of Internal Audit findings, self-disclosed non-compliance issues, remediation commitments and the recommendations of the Compliance Monitoring Plan;
Be part of compliance committee with ongoing employees training and provide guidance and mentoring for the compliance team members.
Experience with in CFD & Margin FX industry compulsory
Bachelor’s Degree (Preferably in Law, Finance, Business Administration, Accounting or any AML and Compliance related career). Masters and/or Juries Doctor preferred;
Preferably ICA Certified Compliance Specialist or equivalent.
Minimum 5 years/Sound previous experience in the AML and Compliance function;
Good knowledge of the Corporations Act, ASIC, AFCA and AUSTRAC and other local regulatory requirements is a must;
Sound proven compliance experience or relevant department experience at an ASIC regulated firm or other financial institution;
Prime Chatswood location – a short stroll from train station/restaurants/cafes
Open plan office complete with a pool table and free fruits
ACY Securities is one of Australia's fastest growing multi-asset online trading providers, offering ultra-low-cost trading, rock-solid execution, technologically superior account management and premium market analysis.
The key pillars we operate on are transparency, client-focus and technology. With a track record of servicing clients since 2011, we are well-positioned to look after our clients' trading needs.
Careers at ACY Securities
We are here to help people achieve their ambitions in the right way. And that's what makes ACY a great place to work at. We employ experts from different fields as we strive to optimise efficiency for all our customers as well as our staff.
What we do is shaped by the five values of Respect, Integrity, Service, Excellence and Stewardship.
These values form the foundations of our relationships with customers and clients. And they also shape how we measure and reward the performance of our employees.
Simply put, success is not just about what you achieve, but about how you achieve it.
A career with us means being part of an organisation with a clear vision and strong shared values.