Compliance Operations Officer
Melbourne, Victoria, Australia
Compliance – Compliance AU /
Office /
On-site
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.
Driving Capital.com’s regulated expansion in Australia, you will embed practical, risk-based controls that keep our fast-moving business fully aligned with AFSL, ASIC and AML/CTF expectations. Acting as the operational bridge between front-line teams and regulators, you will ensure that compliance is not a hurdle but a competitive advantage for our OTC-derivatives offering.
Responsibilities
- Regulatory Advisory & Support: Serve as the primary point of contact for policy, procedure and technical queries from operational teams.
- Onboarding Oversight: Supervise daily KYC/AML checks and verify wholesale-client categorisations to guarantee compliant client onboarding.
- Policy Governance: Maintain and continuously improve the Compliance Manual, policies and procedures in line with evolving ASIC and AUSTRAC requirements.
- Regulatory Engagement: Coordinate, prepare and respond to ASIC, AUSTRAC and external-audit requests, ensuring timely and accurate submissions.
- Controls Testing & Risk Assessment: Lead internal audits, control testing and risk assessments, highlighting gaps and driving remediation.
- Compliance Registers Management: Own and monitor registers for breaches, complaints, conflicts and incidents, escalating themes to leadership.
- Board & Committee Reporting: Compile clear, data-driven reports for the Compliance Committee, TMD Committee and Capital.com Board.
Requirements
- Industry Experience: 2–4 years in compliance or regulatory roles within OTC derivatives, CFDs, FX or broader financial markets, ideally under an AFSL framework.
- Regulatory Expertise: Deep working knowledge of ASIC Regulatory Guides, the AML/CTF Act and derivative-reporting obligations, with the ability to interpret and apply them pragmatically.
- Operational Know-how: Hands-on familiarity with client-onboarding workflows, trading systems and compliance-monitoring tools; proven experience drafting policies, testing controls and producing board-level reports.
- Analytical Mindset: Detail-oriented and resilient under pressure, able to investigate issues and translate data into actionable improvements without losing pace.
- Communication & Stakeholder Management: Confident communicator who can influence internal teams and engage regulators or auditors in a high-pressure trading environment.
- Education & Credentials: Bachelor’s degree (finance, law or related) or near completion; additional compliance or AML certifications welcomed.
- Growth Mindset: Proactively identifies enhancements, champions high-quality outcomes and aligns with Capital.com’s culture of innovation.
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.
- Annual Performance Bonus: Your hard work doesn’t go unnoticed! Celebrate your achievements with a well-deserved annual bonus tied to your performance.
- 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.
