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:
Skills Required
- 2-4 years of experience in compliance or regulatory roles within OTC derivatives, CFDs, FX, or broader financial markets
- Working knowledge of ASIC Regulatory Guides, the AML/CTF Act, and derivative-reporting obligations
- Experience with client onboarding workflows, trading systems, and compliance-monitoring tools
- Experience drafting policies, testing controls, and producing board-level reports
- Detail-oriented, resilient, and able to investigate issues and translate data into improvements
- Strong communication and stakeholder-management skills, including engagement with regulators or auditors
- Bachelor's degree in finance, law, or a related field, or near completion
- Additional compliance or AML certifications
What We Do
Capital provides software that enables founders to raise, hold, spend, and send funds all in one place. Capital has evolved its flagship fundraising tool (formerly known as Party Round) to provide founders with banking solutions that streamline their startups.
