Compliance Operations Officer

Capital

Melbourne +1 more

On-site

Who this role is best for

Strong fit for compliance professionals with regulatory expertise who can bridge operational teams and regulators in the Australian financial markets.

Best fit for

Compliance professionals with 2-4 years of experience in OTC derivatives or financial markets under AFSL
— “2-4 years in compliance or regulatory roles within OTC derivatives, CFDs, FX or broader financial markets, ideally under an AFSL framework.”
Candidates who have actively maintained and updated compliance manuals and procedures
— “Maintain and continuously improve the Compliance Manual, policies and procedures in line with evolving ASIC and AUSTRAC requirements.”
Individuals who can translate data into actionable insights for leadership and board reporting
— “Compile clear, data-driven reports for the Compliance Committee, TMD Committee and Capital.com Board.”

Things to consider

The role demands regular interaction with regulators and auditors in a high-pressure trading environment.
— “Confident communicator who can influence internal teams and engage regulators or auditors in a high-pressure trading environment.”
Candidates must be prepared to manage compliance registers and escalate themes to leadership.
— “Maintain and monitor registers for breaches, complaints, conflicts and incidents, escalating themes to leadership.”

How to stand out

Highlight experience in interpreting ASIC and AML/CTF regulations in your resume and interview responses.
— “Deep working knowledge of ASIC Regulatory Guides, the AML/CTF Act and derivative-reporting obligations, with the ability to interpret and apply them pragmatically.”
Showcase your hands-on experience with compliance-monitoring tools and client-onboarding workflows.
— “Hands-on familiarity with client-onboarding workflows, trading systems and compliance-monitoring tools.”

Pace · SteadyCollaboration · HighAutonomy · MediumDecision Impact · TeamLevel · Mid

Derived from job-description analysis by Serendipath's career intelligence engine.

What success looks like

Embedded practical, risk-based controls
Ensured compliant client onboarding
Maintained and continuously improved the Compliance Manual

Typical background

2-4 years in compliance or regulatory roles within OTC derivatives, CFDs, FX or broader financial marketsBachelor’s degree (finance, law or related)

Skills & requirements

Required

Regulatory ComplianceAml/ctfKyc/aml ChecksCompliance Manual MaintenanceRegulatory Engagement

Preferred

OTC DerivativesCfdsFXASIC Regulatory GuidesDerivative Reporting Obligations

Stack & domain

ComplianceRegulatoryKyc/amlWholesale Client CategorisationsCompliance ManualPolicies And ProceduresASICAustracInternal AuditsControl TestingRisk AssessmentsCompliance RegistersBoard ReportingTrading SystemsCompliance Monitoring ToolsPolicy Drafting

About the role

Original posting from Capital via Lever

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 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 Capital.com 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 Capital.com’s culture of innovation.
Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated.
Work-Life Harmony: Join a company that genuinely cares about you -because your life outside of work matters just as much as your time on the clock.
Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry.
Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team.
Comprehensive Health Benefits: We’ve got your back with a medical insurance plan. Plus, location-specific benefits and perks!
Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.
Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.

Source: Capital careers (Lever)