capital.com
Compliance Operations Officer
- Location
- Melbourne, Victoria, AU
- Arrangement
- Hybrid
- Employment type
- Other
- Posted
- 18 August 2026 (about a month ago)
Checked about a month agoApplications go to the employer, never to RoleSprint
About this role
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.
Work location
- Victoria, AU
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About this listing
Published on Lever under the board identifier Capital, which is the name the employer’s own job board carries. RoleSprint has not verified the company’s registered or trading name, so it is shown exactly as published rather than tidied up.
RoleSprint is not the employer and not a recruiter. Applications are made on the employer’s own site and never reach us; what RoleSprint does is help you decide whether a role is worth your time and prepare for it if it is.
Published 18 August 2026, last checked about a month ago. A posting stops being advertised here 90 days after the employer published it, and one the employer takes down is marked closed rather than quietly removed.