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
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.