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About the Role

This role offers genuine variety and visibility within the compliance function, providing exposure to cutting-edge business initiatives, regulatory relationships, and training across the organization. Your work will span the entire business footprint, offering unparalleled insight into global financial services operations and developing expertise in CFD and stockbroking compliance.

Responsibilities

• Develop and execute the risk-based monitoring program, conducting regular reviews across CFD and stockbroking businesses.
• Ensure compliance matters are properly recorded, investigated, and resolved.
• Manage regulatory relationships, preparing submissions to ASIC and ASX, and coordinating responses to regulatory audits and information requests.
• Deliver scheduled and urgent compliance reporting to senior leadership.
• Design and deliver training programs on regulatory obligations.
• Advise on business initiatives and projects, ensuring compliance considerations are integrated from the outset.
• Track regulatory changes, maintain key registers and procedures, and coordinate internal and external audits.
• Work with the legal team to keep terms and conditions current.

Requirements

• 1-3 years of experience in a Compliance role within the Australian financial services industry.
• Solid understanding of the Australian regulatory landscape, including ASIC regulation, ASX Rules, and regulatory reporting requirements.
• Comfortable supporting change in a fast-moving regulatory environment.
• Working knowledge of stockbroking and CFD operations and systems.
• Strong written and verbal communication skills.
• Analytical mindset.
• Highly organised, self-motivated approach to work.
• Full working rights in Australia.

Skills

• Risk-based monitoring
• Regulatory reporting
• Training development and delivery
• Analytical skills
• Communication skills
• Organisational skills
• Self-motivation

Location

• Australia

Work Type

• Onsite
• Full-time

Experience Level

• 1-3 years

Education Level

• Tertiary qualification in Economics, Law, Business, Accounting, or a related discipline

Benefits

• Accrue 5 additional annual leave entitlements each year (My Days)
• 5 extra annual leave days after 12 months of employment
• Birthday off
• Free annual charity day
• $0 trades for domestic and international equity orders
• Continuous learning opportunities (technical and performance training)
• Unlimited access to a dedicated benefits & wellbeing hub with retailer discounts
• Free breakfast cereals, condiments, and coffee
• Opportunities for social and competitive activities through the culture club

About the Company

• CMC Markets is a global leader in CFD trading and share investing, aiming to provide the ultimate trading experience and make trading accessible to everyone.
• The company is a global fintech leader, launched in 1989, with an award-winning trading platform and a mission to empower millions of people.
• CMC Markets offers trading on thousands of instruments using advanced technology, sophisticated charting, competitive pricing, and automated execution.
• The company also provides a top-tier liquidity institutional offering to banks, brokers, funds, and trading desks.
• CMC Markets is listed on the FTSE250 and continues to invest in technology and people.

Equal Opportunity

• CMC Markets is an equal opportunities employer committed to creating a diverse and inclusive workplace where employees feel confident, valued, and able to do their best work.
• The company seeks out differences and unique perspectives to drive better outcomes.