The Senior Compliance and AML Consultant will oversee and develop compliance practices, conduct policy reviews, implement new procedures, and ensure regulatory compliance within the financial services sector. The role involves monitoring regulatory changes, conducting investigations into suspicious transactions, and providing training to the business.
We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talent team.
Join this tight knit team as the Senior Compliance and AML Consultant to lead the way in maintaining, developing, and overseeing compliance practices and procedures for meeting financial services, anti-money laundering, escalations, expectations, and all other regulatory requirements.
This position is part of a wider group role within capital.com and will require the successful candidate to work some global hours.
Responsibilities:
- Conduct regular reviews of the firm's policies and procedures to ensure they comply with relevant regulations
- Assist with the implementation of new compliance processes and procedures
- Provide guidance and support to the business on regulatory compliance matters
- Ensuring that the Company complies with the regulatory requirements through the Compliance and AML Monitoring Program and reporting any compliance issues or breaches to the Head of Compliance or Senior Management
- Assist with the preparation of regulatory reports and returns
- Monitor regulatory developments and advise the business on the impact of any changes
- Assist with the delivery of compliance training to the business
- Investigate and report on any breaches of regulatory requirements
- Conduct investigations and reviews of suspicious transactions or other potential compliance issues
- Assisting with the review and approval of marketing and advertising materials
- Support the compliance team and client-facing teams in responding to client complaints
- Performing Client account reviews to identify any suspicious activity
- Any other duties assigned from time to time by the Company’s Head of Compliance/AML or Senior Management
Experience/Knowledge/Skills:
- Bachelor degree in relation to law (preferably)
- 5+ years of practical experience in a similar role
- A strong working knowledge of Australian financial services regulations and requirements
- Financial Services experience is required, with experience working within the Australian CFD and margin FX industry being highly desirable
- Strong problem-solving skills with a demonstrable track record of effectively managing a complex range of stakeholders
- Ability to be a self starter and proven demonstration of having a hands-on approach
- Ability to confidently talk about current/past
- performance, professional approach and presentable appearance at all times
- Highly articulate communication skills both written and oral
- Team management experience
- Full eligibility to work in Australia
What you will get:
- Competitive Salary
- International Team Collaboration
- State-of-the-art Equipment
- Generous Annual Leave Policy
- Employee Referral Program
- Comprehensive Private Medical Insurance
- Annual Global Performance Review Cycle
- Exciting social events
Be a key player at the forefront of the digital assets movement, propelling your career to new heights!
Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity.
Work alongside one of the most brilliant teams in the industry.
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