Compliance Operations Officer

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.<br><br>Driving <a href="http://Capital.com" rel="noopener noreferrer">Capital.com</a>’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:

<p><strong>Regulatory Advisory &amp; Support:&nbsp;</strong>Serve as a&nbsp; point of contact for policy, procedure and technical queries from operational teams.</p>

<p><strong>Onboarding Oversight:&nbsp;</strong>Review KYC/AML checks and verify wholesale-client categorisations to guarantee compliant client onboarding.</p>

<p><strong>Policy Governance:</strong>&nbsp;Maintain and continuously improve the Compliance Manual, policies and procedures in line with evolving ASIC and AUSTRAC requirements.</p>

<p><strong>Regulatory Engagement:&nbsp;</strong>Assist the Head of Compliance with&nbsp; preparing and respond to ASIC, AUSTRAC and external-audit requests, ensuring timely and accurate submissions.</p>

<p><strong>Controls Testing &amp; Risk Assessment:&nbsp;</strong>Assist with internal audits, control testing and risk assessments, highlighting gaps and driving remediation.</p>

<p><strong>Compliance Registers Management:</strong>&nbsp;Maintain and monitor registers for breaches, complaints, conflicts and incidents, escalating themes to leadership.</p>

<p><strong>Board &amp; Committee Reporting:</strong>&nbsp;Compile clear, data-driven reports for the Compliance Committee, TMD Committee and Capital.com Board</p>

Requirements:

<strong>Industry Experience</strong>: 2-4 years in compliance or regulatory roles within OTC derivatives, CFDs, FX or broader financial markets, ideally under an AFSL framework.

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<strong>Regulatory Expertise</strong>: Deep working knowledge of ASIC Regulatory Guides, the AML/CTF Act and derivative-reporting obligations, with the ability to interpret and apply them pragmatically.

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<strong>Operational Know-how</strong>: Hands-on familiarity with client-onboarding workflows, trading systems and compliance-monitoring tools; proven experience drafting policies, testing controls and producing board-level reports.

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<strong>Analytical Mindset</strong>: Detail-oriented and resilient under pressure, able to investigate issues and translate data into actionable improvements without losing pace.

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<strong>Communication &amp; Stakeholder Management</strong>: Confident communicator who can influence internal teams and engage regulators or auditors in a high-pressure trading environment.

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<strong>Education &amp; Credentials</strong>: Bachelor’s degree (finance, law or related) or near completion; additional compliance or AML certifications welcomed.

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<strong>Growth Mindset</strong>: Proactively identifies enhancements, champions high-quality outcomes and aligns with <a href="http://Capital.com" rel="noopener noreferrer">Capital.com</a>’s culture of innovation.

<strong>Competitive Salary:</strong> We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated.

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<strong>Work-Life Harmony:</strong> Join a company that genuinely cares about you -because your life outside of work matters just as much as your time on the clock.

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<strong>Generous Time Off:</strong>&nbsp;Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry.

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<strong>Employee Referral Program:</strong>&nbsp;Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team.

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<strong>Comprehensive Health Benefits:</strong>&nbsp;We’ve got your back with a medical insurance plan. Plus, location-specific benefits and perks!

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<strong>Workation Wonderland:</strong>&nbsp;Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!

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<strong>Volunteer Days:</strong>&nbsp;Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.

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Be a key player at the forefront of the digital assets movement, propelling your career to new heights!&nbsp;Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity.&nbsp;Work alongside one of the most brilliant teams in the industry.