Senior Compliance Officer supporting Australian and global operations through licensing, AFSL compliance, regulatory submissions, compliance monitoring, risk assessments, breach and complaint management, audits, regulatory research, product and marketing reviews, and governance reporting. The role requires expertise in Australian CFD, forex, OTC derivatives, and retail financial services regulation, along with strong English and Mandarin communication skills. It also provides technical guidance to junior colleagues and coordinates cross-jurisdictional compliance initiatives.
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:
Join our Compliance team as a Senior Compliance Officer and play a key role in supporting our Australian and global operations. You’ll apply your CFD/forex regulatory expertise across licensing, AFSL obligations, compliance monitoring and strategic business initiatives in a fast-paced, international environment.
Key Responsibilities:
- Complete assigned licence applications, renewals, variations and ongoing regulatory requirements across multiple jurisdictions.
- Prepare, review and coordinate licensing documentation, regulatory submissions, statutory filings and supporting materials.
- Monitor licensing status, regulatory deadlines and compliance obligations, escalating material risks or delays where required.
- Liaise with regulators, external advisers, local agents and corporate service providers on assigned regulatory and compliance matters.
- Maintain and enhance compliance policies, procedures, registers and internal controls in line with applicable regulatory requirements.
- Monitor regulatory developments and assess their potential impact on the Company’s products, services and operations.
- Conduct compliance reviews, risk assessments and control testing to identify gaps, emerging risks and opportunities for improvement.
- Support the assessment, investigation and reporting of potential breaches, complaints, incidents and control failures.
- Prepare compliance reports, risk updates and regulatory information for management and relevant governance bodies.
- Coordinate compliance support for internal and external audits, regulatory reviews and supervisory enquiries.
- Provide practical compliance guidance to internal departments on business activities, operational processes and regulatory requirements.
- Review CFD products, client disclosures, marketing materials, business initiatives and process changes from a compliance perspective.
- Conduct legal and regulatory research and assist with the review of commercial agreements, governance documents and related legal-risk matters.
- Lead assigned compliance projects and workstreams, coordinating with relevant stakeholders to ensure timely and accurate delivery.
- Provide technical guidance and peer review to junior team members where required, without formal people-management responsibility.
- Work closely with subsidiary compliance teams to support consistent regulatory standards and timely escalation of issues across jurisdictions.
Requirements
- At least three years’ relevant compliance, regulatory or legal experience, with the capability to operate independently at Senior Compliance Officer level.
- Compliance experience applying Australian regulatory requirements to CFDs, forex, OTC derivatives, leveraged trading or online broking.
- Strong knowledge of AFSL obligations and the Australian regulatory framework applicable to retail OTC derivatives and CFDs.
- Practical experience in areas such as DDO/TMD, breach reporting, complaints and AFCA matters, AML/CTF, client money, disclosure or marketing compliance.
- Strong regulatory judgement, drafting, communication and stakeholder management skills.
- Professional proficiency in spoken and written English and Mandarin, sufficient to prepare compliance documentation and communicate effectively with Mandarin-speaking stakeholders.
- Broader AFSL regulatory or financial services legal experience will be highly regarded.
- Relevant legal, compliance, risk, or finance qualifications are desirable.
Benefits
- Competitive remuneration, including performance-based bonus opportunities.
- Opportunities to develop your expertise and progress your career within a global business.
- Broad exposure to cross-regional operations and international stakeholders.
- A collaborative, inclusive and supportive team environment.
- Flexible working arrangements aligned with role and business requirements.
- Access to health and wellbeing benefits.
TMGM Sydney, New South Wales, AUS Office
Sydney, New South Wales, Australia
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