Compliance Manager & Company Secretary

IG Group

Date: 18 hours ago

City: Melbourne, Victoria

Contract type: Full time

Job Title

Compliance Manager & Company Secretary

Job Description

So, who are we?

Hello, we're IG Group. We are a publicly-traded FTSE250 FinTech company who run mobile, web and desktop platforms that help our clients trade stocks & shares, leveraged products, Futures & Options and Crypto.

We are ambitious. Over 340,000 people already use our platforms. We're global with offices in 18 countries and products in 16 regions. We're hungry to move faster, ship better product for our customers and grow our user base. We believe in high autonomy, and we want people who are looking to do things differently in order to create better experiences for our customers.

We work in cross-functional teams and are laser focused on increasing the number of active clients we serve to drive sustainable growth.

tastytrade is a retail brokerage that provides professional-grade, world-class technology to retail traders at industry-leading prices. We focus on derivatives trading and offer equities, equity options, futures, and futures options. Built from the ground up by a team with decades of experience in the financial industry, weâ€re a modern brokerage for the current financial climate.

Your team

tastytrade Australia is a wholly owned subsidiary of tastylive Inc., and an affiliate of tastytrade inc, a USA broker dealer. tastytrade Australia purpose is to increase the engagement of Australian in stock and derivative markets utilizing the tastytrade platform, services and capabilities.

Your role in the Team's Success

To help in ensuring tastytrade Australia compliance leads the way in the maintenance, development and oversight of compliance practices and procedures in meeting financial services, anti-money laundering, conduct expectations and other applicable regulatory requirements.

What you'll do

Be an important member of the tastytrade Compliance team and leading the tastytrade Australia Compliance effort.
Undertake the role and responsibilities of tastytrade Australiaâ€s Company Secretary.
Represent tastytrade Australia in meetings with the ASIC, AUSTRAC and other regulators
To ensure the tastytrade, Inc compliance team and applicable business executives are kept up to date with regulatory change and expectations impacting tastytrade Australia.
To ensure adequate and risk-based compliance monitoring.
To provide advice on relevant regulatory matters.
To provide appropriate assistance in respect of external regulatory investigations.
To maintain awareness of, report on and assist in the management of compliance and conduct risk.
To advise the business on compliance and conduct related matters.Â
To develop systems and procedures to ensure and maintain compliance with relevant regulatory requirements in liaison with tastytrade, Inc. CCO and IG Australian Compliance teams.
To provide assistance in any other specific or general way to the work of the global compliance team.
To build relationships and maintain effective stakeholder engagement with tastytrade, Inc. and the wider IG teams.

What you'll need for this role

Essential:

Significant financial services experience in a control/compliance or regulatory role.
Dealing with regulators (ASIC) on a direct basis, ideally having had experience of face-to-face meetings.
People Management.
Retail financial services experience.
Educated to at least degree level or equivalent.

Desirable:

Relevant financial services qualifications â€“ e.g. FOA Derivatives/ SI Diploma.

Personal Attributes

Good communication skills, oral and written.
Strong managerial skills
Good influencing skills.
Commercial acumen
Drive, initiative and resilience.
Able to balance business needs with the need to maintain a fair deal for customers.
Analysis and decision-making.
Thorough understanding of compliance risk and issues and their management.

How we work

We try to take a thoughtful approach to our ways of working as a company. We follow a hybrid working model with 3 days in the office - which we think balances the need to collaborate effectively and connect with each other. When it comes to how we deliver, there are 5 things we want everyone to do to drive high performance, better learning and career satisfaction:

Lead and Inspire: Drives trust, alignment, and enthusiasm
Think Big: Focus on the problems that most impact commercial outcomes
Champion the client: Understand and prioritise client's needs
Deliver at pace: Push for fast, sustainable growth;
Raise the bar: Take ownership, be accountable and share feedback

We believe that diversity is vital to success, it fuels creativity, drives innovation and sets us up for global success. We're committed to building teams with a variety of perspectives and skills to help us realise our vision and strategy, that's why we encourage applications from people with diverse backgrounds and experiences to join us on this journey. Learn more about our D&I approach here .

The Perks

Your growth fuels our success! Thrive with tailored development programs, mentoring opportunities with leaders, and clear career progression. Expand your network through committees, sports and social clubs. Enjoy extra time off for volunteering and community work.