Compliance Operations Officer

Capital.com
Melbourne
Workplace: HybridFull timeFunction: Legal, Risk & ComplianceExperience: 2-4 yearsEducation: bachelorsSkills: ["Detail-oriented","Resilient","Analytical thinking","Stakeholder management","Communication","Growth mindset"]

Embed practical, risk-based compliance controls to support the regulated expansion of an OTC-derivatives trading business in Australia. Serve as the operational bridge between front-line teams and regulators, ensuring alignment with AFSL, ASIC, and AML/CTF expectations. Oversee client onboarding checks (KYC/AML), maintain compliance registers, assist with policy governance, and prepare board/committee reporting and regulatory/audit responses.

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FursaFursa
Capital.com
Capital.com
1 day ago

Compliance Operations Officer

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Source: Company careers pageValidated by: Fursa AI
Last checked: 16 hours agoStatus: Live

Job Summary

Embed practical, risk-based compliance controls to support the regulated expansion of an OTC-derivatives trading business in Australia. Serve as the operational bridge between front-line teams and regulators, ensuring alignment with AFSL, ASIC, and AML/CTF expectations. Oversee client onboarding checks (KYC/AML), maintain compliance registers, assist with policy governance, and prepare board/committee reporting and regulatory/audit responses.
Location: Melbourne
Workplace: Hybrid
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

  • •Act as the operational bridge between front-line teams and regulators, embedding risk-based controls aligned with AFSL, ASIC, and AML/CTF expectations.
  • •Oversee KYC/AML checks and verify wholesale-client categorisations to ensure compliant client onboarding.
  • •Maintain and improve the Compliance Manual, policies, and procedures in line with evolving ASIC and AUSTRAC requirements.
  • •Assist with regulatory engagement by preparing and responding to ASIC, AUSTRAC, and external-audit requests with timely, accurate submissions.
  • •Support controls testing, risk assessment, compliance register management, and compliance committee/board reporting with clear, data-driven outputs.

Pay and Benefits

Perks:Health InsurancePaid LeaveRemote Work

Key Requirements

  • •2-4 years in compliance or regulatory roles within OTC derivatives, CFDs, FX, or broader financial markets, ideally under an AFSL framework.
  • •Deep working knowledge of ASIC Regulatory Guides and the AML/CTF Act, plus derivative-reporting obligations.
  • •Hands-on familiarity with client onboarding workflows, trading systems, and compliance-monitoring tools, including drafting policies, testing controls, and producing board-level reports.
  • •Detail-oriented, resilient analytical mindset to investigate issues and translate data into actionable improvements.
  • •Bachelor’s degree (finance, law or related) or near completion; additional compliance or AML certifications welcomed.
Experience:2-4 yearsOTC derivativesCFDsFXFinancial marketsAFSLComplianceRegulatory
Education:Bachelor's in finance, law or related
Skills:Detail-orientedResilientAnalytical thinkingStakeholder managementCommunicationGrowth mindset
Licenses:AFSL
Tech Stack:KYCAMLASIC Regulatory GuidesAML/CTF ActAFSLClient-onboarding workflowsTrading systemsCompliance-monitoring toolsCompliance ManualCompliance registersInternal audits

Company Brief

Capital.com
Operates an online trading platform offering CFDs, forex, commodities, indices and cryptocurrencies to retail investors and traders, combining market access with educational content, analytics, and AI-driven insights for informed trading decisions.
Industry: Trading Platforms
Company Size: Large (251 to 1,000 employees)
Growth: Scaleup
Headquarters: London, United Kingdom
Founded: 2016
WebsiteLinkedIn