Head of Compliance

• Join our award-winning global trading brokerage!
• Prime CBD location on Collins St with lux building & wellness facilities

About the Role

We’re looking for an experienced Head of Compliance in financial services to take ownership of our Compliance Framework, driving continuous improvement across operations, policies and regulatory obligations. You’ll be at the forefront of promoting a culture of compliance, managing a talented team and delivering exceptional outcomes to drive compliance success.

If you’re passionate about fostering compliance excellence while contributing to strategic growth, this role is your opportunity to shine!

What You'll Be Doing:

Compliance Leadership:

• Manage and develop the compliance team, ensuring continuous improvement and high engagement.
• Foster a positive, open compliance culture and lead by example.

Compliance Operations:

• Perform due diligence and oversee outsourced service providers, including contracts and agreements.
• Conduct compliance control testing and implement robust compliance controls.
• Oversee incident management, ensuring timely and effective resolutions.

Regulatory Compliance & Reporting:

• Ensure compliance with AFSL obligations and serve as the AML/CTF Officer.
• Liaise with regulators (ASIC, AUSTRAC) and prepare reports (e.g., client money, derivative transactions).
• Respond to complaints, breaches, fraud, and suspicious transactions, identifying control improvements.

Policy & Documentation:

• Develop and maintain company policies, client documents (e.g., FSG, PDS, TMD), and policy frameworks.
• Ensure documentation complies with legal and regulatory standards.

Marketing Oversight:

• Review marketing materials and promotions to ensure compliance.

Education & CPD Training:

• Oversee compliance training register and rollout, ensuring adherence to legislative requirements.

Stakeholder Reporting:

• Prepare comprehensive compliance reports for the board and stakeholders.
• Draft minutes, resolutions, and contribute to compliance reporting calendars.

What You’ll Bring to the Table:

• Qualifications: Tertiary qualifications in a relevant discipline (e.g., Degree in Law, Business). RG146 compliance or AML/CTF qualifications are highly desirable.
• Experience: Significant experience in financial services compliance, with exposure to AFSL, ASIC, and AUSTRAC regulations. Experience with OTC derivatives is a plus.
• Leadership: Proven ability to manage and develop a high-performing team.
• Regulatory Expertise: Strong working knowledge of financial services laws and compliance frameworks.
• Analytical Skills: Ability to identify risks and implement mitigation strategies.
• Attention to Detail: High level of accuracy in managing compliance operations, policies, and documentation.
• Communication: Excellent verbal and written communication skills with experience engaging with stakeholders and regulators.
• Problem-Solving: A proactive approach to resolving compliance challenges and driving outcomes.
• Self-Starter: Demonstrated ability to manage tasks with minimal supervision and deliver on key objectives.

Why You’ll Love Being Part of Our Team

• Join an Award-Winning Global Leader: Become a key player with an award-winning online trading brokerage.
• Fresh Coffee and Team Lunches: Enjoy daily fresh coffee and monthly themed team lunches with cuisines from around the world!
• Prime Location & Office Building: Enjoy lux facilities at our CBD office on Collins Street, with complimentary weekly fitness classes and exciting wellness activities to keep you feeling great!
• Diverse Culture: Collaborate with top-tier industry professionals in a supportive team environment that celebrates diversity, innovation and the sharing of ideas to achieve outstanding results.

Apply now with your CV and a Cover Letter highlighting how your skills and experience meet the role requirements. Salary based on relevant skills and experience.

We'll be in touch with shortlisted candidates. Please note that only Australian citizens or permanent residents will be considered for this role.

To succeed in this role, you'll embody GO Market’s values: Clients come first, Integrity and Compliance, and Innovation in all areas.

Please no agencies or unsolicited CVs.