Jan 13, 2022

Senior Compliance Associate

  • Finalto
  • Sydney NSW, Australia
Full time Compliance Legal

Job Description

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.