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Think Markets

Compliance Analyst

Compliance · Melbourne, Victoria
Department Compliance
Employment Type Full-Time
Minimum Experience Mid-level

ThinkMarkets is seeking an ambitious Analyst to join our global Compliance department. Reporting into the Senior Compliance Officer, you will be responsible for overlooking and guiding legal services for the company and affiliates. The role will serve as a legal advisor to the senior leadership. The successful candidate will be expected to provide a proactive approach to solving legal issues within a dynamic and growing organization. The position requires significant interaction with clients and other external constituents. The position ensures the Organization is in compliance with the rules and regulations of the regulatory agencies, that company policies and procedures are being followed, and that behavior in the organization meets the company’s Standards of Conduct.

 

Requirements:              

 

  • Maintain awareness of the legislation and regulation affecting Financial Services.
  • Review Financial Promotions, including sales, marketing, technical literature, telesales scripts, and websites.
  • Audit departments carrying out regulated activities to ensure compliance with agreed procedures.
  • Assist in the completion of reports to the ASIC.
  • Produce relevant Management Information.
  • Assist in the production of communications to increase the regulatory knowledge and skills within the ThinkMarkets Group.
  • Work with the Senior Compliance Officer on managing and creating internal policies and procedures.
  • Assist the Senior Compliance Officer in providing regulatory policy advice to internal departments.
  • Monitor various compliance activities within the ThinkMarkets Group against the Compliance Monitoring Plan and to provide a full Gap Analysis report.
  • Assist in maintaining ThinkMarkets’ data protection safeguards by providing detailed and accurate advice.
  • Assist in maintaining ThinkMarkets’ regulatory safeguards against the risks of money laundering and terrorist financing.
  • Assist in the production of training and communications to increase the regulatory knowledge and skills within ThinkMarkets.
  • Analyse Management Information coming into the department to assist in targeting the Compliance Monitoring Plan.
  • Represent the Compliance function in internal meetings.
  • Other compliance related tasks and projects, as required.

Requirements: 

 

  • Bachelor's degree in Fnance or Economics.
  • Experience in share trading and brokerage operations is a must.
  • RG146 compliance training.
  • Mandarin language skills would be advantageous.
  • Previous experience in Compliance Monitoring and regulations.
  • Experience within a Financial Services organization or equivalent.
  • Strong analytical skills to use data/metrics for risk monitoring.
  • Good MS Office skills.
  • Excellent communications and presentation skills (written and verbal).
  • Strong organizational skills to allow effective management of programs/deliverables.
  • Self-motivated, good organizational skills, detail-oriented, ability to prioritize, multi-task and meet deadlines.
  • Thinking analytically - being able to understand complex technical information and to apply this understanding to a variety of different scenarios.
  • Displaying confidence and professionalism - demonstrating a sound knowledge of the regulation relating to the ASIC, Anti-Money Laundering regime, Data Protection, and the financial services industry.
  • Strong verbal and written communication skills, with an ability to explain complex technical information clearly and accurately for different levels of staff.
  • Sound ability to solve problems and resolve inquiries.
  • Excellent attention to detail.
  • Organisation – being able to prioritize and manage own work.

 

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  • Location
    Melbourne, Victoria
  • Department
    Compliance
  • Employment Type
    Full-Time
  • Minimum Experience
    Mid-level