Compliance Officer

Established for more than 15 years, we are a global finance trading platform based in Sydney, Australia with over 130+ employees with a strong online presence. Continually improving our product and services, we are considered one the of main competitors within our industry. As an agile company that values growth and development, we foster a collaborative culture. 

Company Values: 

 Responsible Governance and Practices 

 Transparency and Trust 

 Inspiring Confidence 

 Commitment to Customer Service 

Due to ongoing growth and expansion, we are looking for a Junior to intermediate level Compliance Officer to join our Compliance team. You will be a detail-oriented individual with complaints handling experience, regulatory compliance, compliance and risk management activities.  

Responsibilities:

Complaint handlings;

Assist with handling Internal Dispute Resolution (IDR) and External

Dispute Resolution complaints;

Respond to and support in resolving first-line compliance-related

queries;

Ad-hoc compliance tasks;

Aid in developing systems and controls to facilitate compliance

procedures;

Conduct ongoing compliance monitoring reviews;

Assist in reviewing marketing materials and promotions for compliance;

Assist in managing and documenting incidents and breaches;

Prepare compliance materials and reports as required;

Support projects and improvement initiatives;

Collaborate with key stakeholders across business units on compliance

matters;

Assist with internal reviews and audits to ensure adherence to

compliance procedures;

Provide support to the Compliance team with ad hoc duties as needed; and

Maintain up-to-date record management systems and the compliance

framework.

 Personal Attributes and Requirements:

• Demonstrated experience (minimum 1-3 years) in a similar role or applicable area;

• Working knowledge of FX/CFDs, previous experience in Customer Support with a solid

understanding about the trading product and capability to conduct trade investigation is desired;

• Demonstrated accountability and a proactive approach to work;

• Familiarity with AFCA and ASIC regulations;

• Knowledge of offshore regulations;

• Ability to work both collaboratively and independently as a team player;

• Strong verbal and written communication skills;

• Proficiency in investigating, drawing logical conclusions, and effectively articulating findings;

• Solid analytical skills and the ability to conduct thorough reviews; and

• High attention to detail and a strong problem-solving mindset.

If you meet the above criteria, please provide a copy of your resume/CV to: ******@icmarkets.com.au for our consideration. Please put your name +job you are applying for in the title [e.g.: John Smith - Compliance Officer]

No agencies.