Compliance Manager (Financial Markets)

About Us 👋

Life Trading Pty Ltd is a dynamic proprietary trading firm with a presence in Australia and the UK. Our mission is to leverage technology to drive trading success while embodying our values of trust, integrity, and continuous improvement. We believe in fostering a work environment that promotes accountability, excellence, and a healthy work-life balance.

Our culture is supportive and inclusive, with a focus on creating a positive and fair workplace for all employees.

About The Role 💡

As a Compliance Manager in our Sydney office, you’ll be part of a small, high-calibre team responsible for overseeing and enhancing Life Trading’s market compliance policies, processes, and systems. Reporting to the COO, your role will ensure Life Trading meets its compliance obligations across multiple exchanges.

This role includes a blend of regulatory oversight, market surveillance, policy development, and incident management, offering you a challenging and rewarding environment in which to grow your expertise.

This is a hybrid role, with 4 days a week in the office, 1 day WFH.

Your Mission at Life Trading 🎯

Core Responsibilities:

• Review and maintain all market compliance policies and procedures across various exchanges.
• Conduct market and e-com surveillance, maintaining detailed documentation.
• Lead assurance reviews and compliance checks.
• Manage trader market access and support compliance meetings.
• Oversee compliance registers and manage compliance reporting.
• Provide company-wide compliance guidance on new processes.
• Facilitate clearer onboarding and manage compliance reviews.
• Liaise with exchanges, regulators, and external consultants as needed.

Other:

• Uphold company values in all aspects of work.
• Complete additional tasks as assigned.

What We’re Looking For 👀

• 5+ years of experience in compliance, with a background in futures or equities market regulation,
• Strong organisational skills, with the ability to handle complex compliance requirements.
• Excellent written and verbal communication skills.
• Passion for learning and professional growth.
• Business acumen, with the ability to navigate the financial markets landscape.
• Proven ability to work both independently and as part of a collaborative team.

Bonus Points For ✅

• Demonstrated  legal experience also considered advantageous
• Degree in a relevant field.
• Familiarity with Python, Jira, and Excel.
• Proven ability to work autonomously, improve business processes, and manage projects.

A Bit About The Team 🤝

Joining our Risk & Compliance team, you’ll work closely with trading, risk, and business development teams, playing a critical role in maintaining a strong compliance culture at Life Trading.

Benefits 🎉

At Life Trading, we value our team and offer a range of benefits to support your professional growth, personal well-being, and work-life balance:

• Competitive Salary: Reflecting the value of your skills and market experience.
• Flat Management Structure: Open communication and direct impact from day one.
• Work-Life Balance: Hybrid working model with flexible arrangements.
• Health and Wellbeing Initiatives: Access to mental health support and wellness programmes.
• Anniversary Leave: Additional paid leave to celebrate your milestones with us.
• Social Events: Regular team-building activities and social gatherings.
• Paid Parental Leave: Generous support for new parents to balance work and family.
• Professional Development: Access to training, workshops, and industry events.
• Employee Recognition Programme: Celebrating exceptional individual and team achievements.

Join us at Life Trading, where your expertise and commitment to compliance will help shape the future of our trading operations!