Senior Compliance Manager

Role Overview

• Oversee and manage end-to-end licence application and renewal processes across multiple jurisdictions, ensuring timely submission and ongoing regulatory compliance.
• Supervise the preparation, review, and coordination of licensing and regulatory documentation to ensure accuracy and alignment with regulatory requirements.
• Monitor licensing status, regulatory milestones, and key risks, escalating issues and coordinating resolutions where required.
• Act as the primary liaison with regulators on licensing and regulatory matters, managing regulatory communications, enquiries, and follow-ups on behalf of the Group.
• Coordinate with external agents, consultants, and local representatives, providing direction and oversight to ensure regulatory matters are handled consistently and effectively.
• Oversee the maintenance and ongoing effectiveness of the Group’s compliance framework, including policies, procedures, and compliance registers.
• Conduct periodic reviews of compliance processes and controls to identify gaps, emerging risks, and areas for improvement.
• Prepare and present compliance and regulatory reports for senior management and, where required, regulatory bodies.
• Oversee compliance support for internal and external audits, regulatory reviews, and supervisory engagements.
• Ensure consistent interpretation and application of regulatory requirements across group entities and jurisdictions.
• Design and implement compliance risk management and monitoring mechanisms.
• Supervise and oversee the execution of compliance-related tasks by team members, ensuring accuracy, timeliness, and regulatory alignment.
• Provide guidance and quality oversight to the licensing compliance team, supporting capability development and consistent standards of work.
• Maintain effective communication and coordination with subsidiary compliance teams to ensure alignment, visibility, and timely escalation of issues.
• Support cross-functional stakeholders by providing compliance input on business activities while ensuring regulatory obligations are appropriately addressed.

Requirements

• Degree in Law, Finance, or a related discipline
• 5–8 years’ experience in compliance within financial services
• Strong knowledge of OTC derivatives products and regulatory frameworks
• Experience dealing with regulators such as ASIC (experience with other regulators is highly regarded)
• Strong leadership, stakeholder management, and communication skills
• Ability to operate in a fast-paced, global environment

Desirable

• Experience in multi-jurisdictional compliance frameworks (e.g. Australia, offshore licenses, or Asia)
• Prior experience in a global brokerage or trading environment
• Familiarity with product governance, client money rules, and derivative transaction reporting

Benefits

• Senior leadership role with high visibility and strategic impact
• Exposure to global regulatory environments and licensing projects
• Opportunity to shape and enhance compliance frameworks
• Competitive salary and career progression opportunities