Head of Risk and Compliance - Emerging Broker

Summary about this job

Detail information about job Head of Risk and Compliance - Emerging Broker. Terms and conditions vacancy

Join a growing Australian Retail Broker in this exciting opportunity for an experienced Risk and Compliance professional, reporting to the Chief Risk Officer. 

This role will suit a flexible and resourceful candidate who will enjoy working collaboratively in a small team and seeing the end to end processes of the business.

Responsibilities will include;

• Develop, implement and maintain the companies Compliance Policies.
• Maintain the currency of policies, ensuring new regulations and requirements are implemented.
• Manage and maintain requirements of our Australian Financial Services License.
• Manage and where required develop further our AML / KYC processes in accordance with our AML/KYC Program.
• Manage the companies Risk Program.
• Provide Compliance signoff on items such as marketing materials, product disclosure and transaction documentation.
• Manage the monthly Risk and Compliance forum. 
• Provide Risk and Compliance Training as required.
• Contribute to or be responsible for Risk and Compliance projects as they arise.
• Oversee the day to day operations dealing with FX, Commodities, indices and CFD's.  
• Acting as the companies first line of defense against AML/CTF 

To be considered for the role you will: 

• 8-10 years’ experience in a relevant financial services compliance role
• Risk and compliance experience in retail/ Broking environment is essential 
• Relevant University degree
• Hands on approach, flexible and resourceful
• Strong communication and stakeholder management skills

For this opportunity, you will enjoy working in a results-driven environment that rewards hard work and success. For further information please contact Dylan Hackers on [email protected] or 02 9226 4482