Nov 20, 2021

Head of Compliance and Legal

  • ACY Securities
  • Sydney NSW, Australia
Full time Compliance Legal

Job Description

Sydney - North Shore & Northern Beaches
Banking & Financial Services - Compliance & Risk
Full time
 

 

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.

The Requirements

  • 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;

The Offer

  • Prime Chatswood location – a short stroll from train station/restaurants/cafes
  • Open plan office complete with a pool table and free fruits
  • Discounted corporate gym and health membership
  • Employee Recognition Award
 

 

 

 

 


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