Senior Compliance Officer
TMGM (Trademax Global Limited / Trademax Australia Limited) is an online CFD and forex broker offering trading in Forex, Precious Metals, Cryptocurrencies, Oil, Shares and Indices. It serves retail investors globally, providing platforms like MetaTrader 4/5 and its own TMGM app, with competitive spreads, high leverage, and various account types including cent accounts.
About TMGM
TMGM is a global online trading broker operating under Trademax Australia Limited (regulated by ASIC, AFSL no. 436416, based in Sydney, NSW, Australia) and Trademax Global Limited. The company offers CFD trading across six asset classes—Forex, Precious Metals, Cryptocurrencies, Oil, Shares, and Indices—via industry-standard platforms such as MetaTrader 4 and MetaTrader 5, as well as its own TMGM mobile app. It serves retail traders and investors in over 150 countries (excluding the US, Malaysia and Thailand), offering features like tight spreads from 0.0 pips, leverage up to 1:1000, minimum deposits as low as $15-$100, fast execution, segregated client funds, and multiple funding options with no fees. TMGM also provides educational resources including a trading academy, webinars, market news and analysis, and runs promotions such as trading competitions, referral bonuses, and cashback programs. The company has sponsorship partnerships with Chelsea FC and the Brooklyn Nets, and has received numerous industry awards for broker services, trading platforms, and customer support across the Asia-Pacific region.
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You manage licence applications renewals variations and ongoing requirements across jurisdictions. You prepare regulatory submissions and monitor deadlines and obligations. You maintain compliance policies registers and controls assess regulatory developments conduct reviews and risk assessments and investigate potential breaches and incidents. You provide practical guidance review products and disclosures support audits conduct regulatory research lead compliance projects and guide junior colleagues.
Requirements
- At least three years of relevant compliance regulatory or legal experience
- Experience applying Australian regulations to CFDs forex OTC derivatives leveraged trading or online broking
- Strong knowledge of AFSL obligations and the Australian retail OTC derivatives and CFD framework
- Practical experience with DDO TMD breach reporting complaints AFCA AML CTF client money disclosure or marketing compliance
- Strong regulatory judgement drafting communication and stakeholder management skills
- Professional spoken and written English and Mandarin
- Broader AFSL regulatory or financial services legal experience is advantageous
- Relevant legal compliance risk or finance qualifications are desirable
Responsibilities
- Complete licence applications renewals variations and regulatory requirements
- Prepare licensing documentation regulatory submissions and statutory filings
- Monitor licensing status deadlines and compliance obligations
- Liaise with regulators advisers agents and corporate service providers
- Maintain compliance policies procedures registers and internal controls
- Assess regulatory developments and operational impacts
- Conduct compliance reviews risk assessments and control testing
- Investigate and report potential breaches complaints incidents and control failures
- Prepare compliance reports and regulatory information
- Coordinate audits regulatory reviews and supervisory enquiries
- Provide compliance guidance to internal departments
- Review CFD products disclosures marketing materials and process changes
- Conduct legal and regulatory research
- Lead assigned compliance projects and workstreams
- Provide technical guidance and peer review to junior colleagues
- Coordinate standards and issue escalation across jurisdictions
Benefits
- Performance-based bonus opportunities
- Flexible working arrangements
- Health and wellbeing benefits