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 a point of contact for policy, procedure and technical queries from operational teams.
Onboarding Oversight: Review 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: Assist the Head of Compliance with preparing and respond to ASIC, AUSTRAC and external-audit requests, ensuring timely and accurate submissions.
Controls Testing & Risk Assessment: Assist with internal audits, control testing and risk assessments, highlighting gaps and driving remediation.
Compliance Registers Management: Maintain 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
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