- Link: Compliance Associate from Capital.com
- Dates: All year 2023
- Job location: Melbourne, Australia.
- Job description: Assist the local Compliance team, with ensuring the company complies with its statutory and regulatory obligations where required, ensure requirements of ASIC and other regulators or bodies (i.e., AFCA, OAIC, AUSTRAC) are met. Conduct compliance testing in accordance with the Compliance Monitoring Plan. Identify inefficiencies, identify and drive through automated/manual solutions where possible to mitigate regulatory risks to improve business processes and customer experience. Review, approve, and audit marketing materials (e.g. financial adverts, website disclosures, market videos) in accordance with regulatory and internal compliance advertising protocols. Review, monitor and conduct tests of the regulatory compliance elements of the staff training program. Conduct suspicious matter reviews, and reports in accordance with the company’s AML program if deem appropriate. Handle internal and external enquiries in relation to the company’s compliance and/or back office policies, procedures and controls. Promote a compliance culture and assist employees to understand their compliance responsibilities.
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