Compliance Manager

About this role

Join our team in Sydney or Melbourne as a Compliance Manager.

Due to the nature of the role, relevant compliance experience in the FX/CFD industry is a must.

Company Description

Vantage is a global multi-asset brokerage firm based in Sydney, licensed by the Australian Securities and Investments Commission (ASIC).Our commitment is to provide a robust trading environment, complemented by a fast and user-friendly trading platform, enabling our clients to capitalize on trading opportunities efficiently.

Key Responsibilities

• Conduct compliance monitoring review.
• Completing compliance checks and preparing compliance report.
• Ensure compliance with ASIC regulations, Corporations Act 2001, Anti-Money Laundering (AML) laws, and other relevant financial regulations.
• Develop, review, and update compliance policies and procedures to reflect regulatory change.
• Conduct internal audits and compliance reviews to assess adherence to regulatory requirements.
• Assist in preparing reports and filings required by ASIC and other regulatory bodies.
• Identify, assess, and mitigate compliance risks within the organization.
• Implement corrective actions for any non-compliance issues and work with internal teams to improve compliance control.
• Provide compliance training to employees to ensure awareness of regulatory obligation.
• Advise management and key stakeholders on compliance risks and best practice.
• Maintain comprehensive compliance records, reports, and documentation.
• Assist in preparing compliance-related reports for senior management and regulatory authorities.

Key Qualifications & Experience

• Bachelor’s degree in law, Finance, Business, or a related field.
• Experience in a compliance, risk management, or regulatory role.
• Strong knowledge of ASIC regulations, the Corporations Act 2001, AML laws, and financial services compliance.
• Experience in conducting audits, risk assessments, and policy development.
• Excellent analytical and problem-solving skills with strong attention to detail.
• Ability to interpret and apply complex regulatory requirements effective.
• Strong communication skills with the ability to liaise with internal teams and regulatory bodies.
• The ideal candidate will have experience, either prior or current, in the FX/CFD industry.

Next Steps

Upon receiving your application, our team will carefully review it. If your skills and experience align with the role, we will reach out to arrange a conversation and guide you through the recruitment process.

Please note: Only Australian citizens, permanent residents, or individuals with full working rights in Australia will be considered.

A Note to Recruitment Agencies

We kindly request no unsolicited approaches, as we are not engaging external recruitment support at this time.

About compliance & regulatory roles for ex-police

Compliance, AML/CTF and regulatory roles. Working to AUSTRAC, ASIC and APRA obligations is a stronger regulatory grounding than most civilian applicants can offer — firms increasingly recognise this.