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. Driving [](http://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 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 [](http://Capital.com)’s culture of innovation.