About TMGM:
TMGM stands at the forefront of online trading and investment services, proudly serving as Chelsea FC's Official Regional Online Forex and Trading Partner in Asia Pacific. With a global presence and offices spanning three continents, TMGM has earned its reputation as a trusted CFD trading provider. We embody excellence through a commitment to regulatory compliance, technological innovation, and unparalleled customer service.
At TMGM, our vision goes beyond providing a platform for trading; we aspire to empower our clients with the best trading conditions. We leverage industry-leading and cutting-edge innovative platforms to ensure that your trading experience is nothing short of exceptional. Our relentless commitment to research and development continually pushes the boundaries of liquidity and usability, giving you the tools you need to thrive in an ever-evolving financial landscape.
About the role:
We are seeking a highly experienced Senior Compliance Manager to lead and strengthen our compliance framework across a global financial services group. This role is critical in ensuring ongoing compliance with regulatory obligations across multiple jurisdictions while supporting business growth in a controlled and sustainable manner. You will work closely with senior management and key stakeholders to oversee compliance operations, regulatory engagement, and risk management initiatives.
Responsibilities:
- Oversee and manage end-to-end licence application and renewal processes across multiple jurisdictions, ensuring timely submission and ongoing regulatory compliance.
- Supervise the preparation, review, and coordination of licensing and regulatory documentation to ensure accuracy and alignment with regulatory requirements.
- Monitor licensing status, regulatory milestones, and key risks, escalating issues and coordinating resolutions where required.
- Act as the primary liaison with regulators on licensing and regulatory matters, managing regulatory communications, enquiries, and follow-ups on behalf of the Group.
- Coordinate with external agents, consultants, and local representatives, providing direction and oversight to ensure regulatory matters are handled consistently and effectively.
- Oversee the maintenance and ongoing effectiveness of the Group’s compliance framework, including policies, procedures, and compliance registers.
- Conduct periodic reviews of compliance processes and controls to identify gaps, emerging risks, and areas for improvement.
- Prepare and present compliance and regulatory reports for senior management and, where required, regulatory bodies.
- Oversee compliance support for internal and external audits, regulatory reviews, and supervisory engagements.
- Ensure consistent interpretation and application of regulatory requirements across group entities and jurisdictions.
- Design and implement compliance risk management and monitoring mechanisms.
- Supervise and oversee the execution of compliance-related tasks by team members, ensuring accuracy, timeliness, and regulatory alignment.
- Provide guidance and quality oversight to the licensing compliance team, supporting capability development and consistent standards of work.
- Maintain effective communication and coordination with subsidiary compliance teams to ensure alignment, visibility, and timely escalation of issues.
- Support cross-functional stakeholders by providing compliance input on business activities while ensuring regulatory obligations are appropriately addressed.
Requirements
- Degree in Law, Finance, or a related discipline
- 5–8 years’ experience in compliance within financial services
- Strong knowledge of OTC derivatives products and regulatory frameworks
- Experience dealing with regulators such as ASIC (experience with other regulators is highly regarded)
- Strong leadership, stakeholder management, and communication skills
- Ability to operate in a fast-paced, global environment
Desirable
- Experience in multi-jurisdictional compliance frameworks (e.g. Australia, offshore licenses, or Asia)
- Prior experience in a global brokerage or trading environment
- Familiarity with product governance, client money rules, and derivative transaction reporting
Benefits
- Senior leadership role with high visibility and strategic impact
- Exposure to global regulatory environments and licensing projects
- Opportunity to shape and enhance compliance frameworks
- Competitive salary and career progression opportunities
TMGM Sydney, New South Wales, AUS Office
Sydney, New South Wales, Australia
