Compliance Manager

Job Title: Compliance Manager
Contract Type: Permanent
Location: Sydney CBD, New South Wales
Salary: Negotiable
Reference: 194304_1555567789
Contact Name: Anson Lam
Contact Email:
Job Published: April 18, 2019 16:09

Job Description

The Company:

Our client is a leading FX firm which adopts customer focused approach and embodies great work life balance initiatives. They are currently seeking a Compliance Manager with a with exceptional AML/CTF/KYC operational and management experience.

The ideal candidate will be one that comes from compliance specialist background. You will act as the SME and conduct due diligence reviews. You will be responsible for managing policy and procedures including transaction monitoring, AML/CTF/KYC, policy changes and reviews.

The Role:

  • Develop detailed plan on implementing the compliance policy and procedure frameworks
  • Monitor account activity through transaction monitoring system and investigate suspicious activity
  • Review and update AML program and policies
  • Act as SME for due diligence reviews on new partners, complaints handling and advice on new product launches
  • Prepare regulatory and analytical reports for head office
  • Perform internal audits and report on any findings
  • Identify any opportunities to work towards minimisation of legal risk across the firm
  • Point of contact for regulators or any government authorities
  • Promote positive compliance culture across business units
  • Conduct meetings with individual team members for training and development opportunities
  • Ad hoc tasks related to Legal and Compliance

You must have:

  • Must have audit (internal/external) experience
  • 3+ years financial services compliance experience
  • Proven team management experience
  • Experience working in transaction monitoring space
  • Banking/Law/Commerce or related degree qualified

For a confidential discussion please call Anson Lam on 02 8247 5712, email or click on the apply button below.

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