Legal & Compliance Counsel
We are seeking a compliance professional with 5+ years of experience in a compliance or legal role in the financial services industry.
Summary about this job
Banking & Finance Law
Company: Private Advertiser
Location: Melbourne
Work type: Full Time
Salary: n\a
Phone: +61-3-1469-5351
Fax: +61-2-7059-8158
E-mail: n\a
Site: n\a
Detail information about job Legal & Compliance Counsel. Terms and conditions vacancy
Do you have legal and compliance experience within the financial services industry? If so, this role could be just what you are looking for!
Who we are
We are a leading margin foreign exchange and contracts for difference (CFD) provider, based on St Kilda Road, Melbourne. Both our client-base and team have grown rapidly in the last 12 months and we expect the next 12 months to show similar growth.
Your new role
The growth of our organisation has meant that we are looking to expand our legal and compliance department. Reporting to our Managing Director, you will act as the company's Compliance Officer and in-house legal counsel. Having 5+ years' experience in a similar role or as legal or compliance advisor to an AFSL provider, your key duties would include:
- Managing the company's Compliance Department and a small team of compliance professionals;
- Providing regular legal and compliance advice to the board of directors about financial services related matters;
- Reviewing the company's compliance with laws and regulations and reporting back to the board of directors;
- Working closely with external legal counsel in handling inquiries from ASIC and other regulators;
- Overseeing the company's internal and external dispute resolution process; and
- Helping manage and continuously improve the company's anti-money laundering and counter-terrorist financing program.
Your Experience
Ideally, you would have had 5+ years' experience in a legal or compliance capacity for a financial services company. Whilst we are a margin foreign exchange and CFD provider, we are more than happy for you to apply if you have not had experience within that industry. So, if you have worked for a bank, an insurance provider, a financial planner (just to name a few) in a legal or compliance role, then we want to hear from you!
Your Requirements
It would be highly regarded if you have:
- Previous experience liaising with ASIC, AUSTRAC and the Financial Ombudsman Service;
- A thorough understanding for laws and regulations for OTC derivative providers;
- A strong academic background with qualifications in law, accounting, risk management and/or finance;
- The ability to manage a small team and oversee the compliance requirements of growing company; and
- Strong written, organisational & analytical skills and a keen attention to detail.
Does this sound like a role which would suit you?
If so, please apply now!