Compliance Operations Officer

Capital.com | Financial services

25d 17h ago

On-site

Full Time

Australia

This posting may no longer be available.

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 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

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.

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.

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 Benefits: We’ve got your back with a medical insurance plan. 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.

Required Skills

kyc

Required Languages

🇬🇧 English