We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.
We're looking for a Mid level Compliance Associate to assist the local Compliance team by conducting testings and checks, reviewing existing procedures, and proactively driving through changes to improve the robustness of compliance controls. This is a hands-on compliance role where you'll handle account investigations escalated from Fin Crime and back office, make decisions on those accounts, and escalate final approvals or rejections to the Head of Compliance. You'll also support the broader regulatory compliance programme — registers, breach reporting, policy maintenance, and ASIC obligations under the Corporations Act.
Duties and Responsibilities
- Own AML operations end-to-end for CCAU: transaction monitoring, screening, SMR lodgement with AUSTRAC, and account investigations escalated from line one teams.
- Conduct CDD and EDD reviews on flagged accounts, making clear and defensible decisions within defined escalation thresholds.
- Support AFSL obligations under the Corporations Act — including maintaining compliance registers (breach, conflicts, complaints, gifts & benefits) and assisting with ASIC regulatory reports.
- Draft and update compliance policies and procedures; maintain document control standards and support periodic review cycles.
- Manage complaints handling in line with RG 271, including maintaining the complaints register, reporting metrics, and IDR obligations.
- Log, assess, and escalate compliance incidents; support breach reporting assessments under the reportable situations regime.
- Coordinate compliance training — maintain training registers, CPD records, and support induction compliance briefings.
- Track regulatory change across ASIC, AUSTRAC, and APRA where relevant; assist with gap analysis as new obligations come into force.
Experience, Knowledge and Skills
- 3–5 years of AML operations experience, or strong general compliance experience within a regulated financial services firm.
- Direct experience with AUSTRAC reporting — SMR lodgements, transaction monitoring, and dealing with the new AML/CTF Act obligations.
- Screening experience — name screening, sanctions, PEP checks — and confidence making escalation decisions.
- Solid understanding of AFSL obligations under the Corporations Act and how they apply to a CFD or derivatives business.
- Strong judgment. You won't have a senior colleague to lean on for every decision. You need to assess, decide, document, and move.
- Excellent written communication — your decisions and escalations need to be clear and evidenced.
- Strong understanding of Australian financial services compliance, operations and regulations is desirable
- Knowledge and exposure to regulatory compliance requirements
- Experienced working within the Australian CFD and margin FX industry is desirable
- Strong understanding of KYC and AML regulations and procedures
What Will You Get in Return?
• Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated.
• Work-Life Harmony: Join a company that genuinely cares about you - because your life outside of work matters just as much as your time on the clock. #LI-Hybrid
• Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry.
• Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team.
• Comprehensive Health & Pension Benefits: From medical insurance to pension plans, we’ve got your back. Plus, location-specific benefits and perks!
• Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
• Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.
Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.
