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Compliance Operations Officer

Capital.com· Compliance
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Hybrid (Melbourne)HybridPosted 2mo ago

About the role

Compliance Operations Officer responsible for embedding risk-based controls to ensure AFSL, ASIC and AML/CTF compliance for Capital.com’s Australian OTC-derivatives operations, acting as the bridge between front-line teams and regulators.

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 responding 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

Qualifications

  • 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.

Skills

Required:KYC/AML onboardingRegulatory interpretationPolicy drafting & governanceControls testing & risk assessment

Benefits

  • Competitive Salary
  • Work-Life Harmony
  • Generous Time Off
  • Employee Referral Program
  • Comprehensive Health Benefits
  • Workation Wonderland: 30 extra days to work remotely from anywhere in the world
  • Volunteer Days: Two additional paid days per year
Last updated Oct 21, 2026. Interested? Apply on the company site.

About Capital.com

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