ABOUT US:

Tiger Brokers (AU) Pty Limited, an Australian-registered financial service provider, is a subsidiary of UPFintech Holding Limited, known as "Tiger Brokers" (NASDAQ: TIGR), a leading online brokerage firm focusing on global investors. Founded in 2014, Tiger Brokers became one of the major players in US equity trading among trading platforms catering to global investors in less than two years.

Tiger Brokers has offices in China, the United States, Australia, New Zealand, and Singapore. It currently has over 1 million customers worldwide. The company is backed by well-known investors such as Xiaomi and investment guru Jim Rogers.

Tiger Brokers (AU) Pty Limited is currently expanding the team and looking for an experienced Senior Compliance Officer to join our compliance department. This is a perfect opportunity for someone coming from a strong compliance background within the finance and stockbroking industry, with an ability to work in a fast-paced environment, and who wants to expand their career in financial markets.

BENEFITS WE OFFER:

You will have the opportunity to develop your career with the growing business and work alongside a talented and highly experienced management team.

Excellent opportunity to expand exposure in financial markets;

Friendly and supportive team culture to help you unlock your potential;

Market Competitive salary package and bonus;

Flexible Working Environment;

Premium Office Location in CBD.

Role Responsibilities:

Reporting to the Compliance Manager, your role will involve:

Drafting and updating company policies, procedures, and controls to identify, prevent, mitigate, and manage regulatory risks.

Preparing and maintaining company disclosure documents, including PDS, TMD, and FSG.

Collaborating with business units to develop a strong understanding of their strategy, services, and products.

Planning and conducting ongoing compliance monitoring reviews of business activities.

Leading regulatory training initiatives across the organization.

Reviewing audit and regulatory findings, assessing key issues for risk rating purposes.

Reviewing marketing materials, client communications, and website content for compliance.

Overseeing the complaints handling process, including managing complex cases.

Maintaining responsibility for all record-keeping and compliance registers.

Fostering a strong compliance culture within the organization.

Requirements:

A Bachelor's degree in Law, Business Law, Commerce, Finance, or a related field.

Relevant experience in financial markets is essential.

Exposure to the securities and CFDs industry is highly regarded.

Strong understanding of the Corporations Act, ASIC regulations, and AFCA processes.

Fluency in Mandarin is essential.

A proactive approach to personal development with a growth mindset.

A proven track record of delivering high-quality results.

RG146 compliance is preferred but not mandatory.