Compliance Officer – Due Diligence Focus

Job title: Compliance Officer – Due Diligence Focus

Company: TMGM


Job description: About the Company:TMGM stands at the forefront of online trading and investment services, proudly serving as Chelsea FC’s Official Regional Online Forex and Trading Partner in Asia Pacific. With a global presence and offices spanning three continents, TMGM has earned its reputation as a trusted CFD trading provider. We embody excellence through a commitment to regulatory compliance, technological innovation, and unparalleled customer service.At TMGM, our vision goes beyond providing a platform for trading; we aspire to empower our clients with the best trading conditions. We leverage industry-leading and cutting-edge innovative platforms to ensure that your trading experience is nothing short of exceptional. Our relentless commitment to research and development continually pushes the boundaries of liquidity and usability, giving you the tools you need to thrive in an ever-evolving financial landscape.About the Role:We are seeking a detail-oriented and proactive Compliance Officer with a strong focus on due diligence and third-party risk assessment to join our compliance team. You will play a critical role in conducting in-depth due diligence and assessing compliance, reputational, and financial risks associated with vendors, clients, and counterparties, particularly within the CFD and broader financial trading industry.Key Responsibilities:

• Due Diligence: Conduct thorough analysis of financials, legal documents, and regulatory filings related to acquisitions, partnerships, and investments within the CFD and broader financial services sectors.
• Risk Assessment: Identify and evaluate compliance, financial, and third-party risks to ensure alignment with the company’s risk tolerance and regulatory obligations.
• Third-Party Risk Management: Monitor and assess vendor and partner relationships for reputational, operational, and regulatory risks, ensuring continued adherence to contractual and compliance requirements.
• Regulatory Research: Track and interpret regulatory developments in financial markets to inform due diligence strategies and ensure ongoing compliance.
• Reporting: Prepare clear, actionable due diligence reports that highlight key findings, risk factors, and recommended mitigations for senior decision-makers.
• Cross-Functional Collaboration: Coordinate with internal teams—including Legal, Risk, Finance, and Operations—to gather information and ensure a holistic review process.
• Policy Compliance: Ensure all due diligence activities comply with internal policies and applicable regulatory standards, particularly regarding third-party engagements.
• Process Enhancement: Proactively improve due diligence frameworks by integrating evolving industry standards, regulatory updates, and risk management best practices.
• Stakeholder Communication: Present findings and risk assessments effectively to management and relevant stakeholders, supporting informed decision-making.
• Ad-Hoc Support: Perform compliance-related tasks as required, with a focus on due diligence and regulatory risk management.

Requirements

• Bachelor’s degree in Law, Finance, or related field; advanced degree preferred.
• At least 2 years of experience in compliance, legal, due diligence, or audit roles within financial services.
• Strong knowledge of regulatory frameworks (e.g. MiFID, MiCA, AFM, SEC).
• Proven experience in due diligence, risk assessment, auditing, and regulatory research.
• Ability to analyze financial statements and assess third-party risk.
• Bilingual in English and Chinese (preferred).
• Excellent analytical, communication, and report-writing skills.
• Strong collaboration skills and ability to work across teams.
• Organized, detail-oriented, and able to manage multiple priorities.

Benefits

• Competitive salary and performance-based bonuses.
• Opportunities for career growth and development within a global company.
• Collaborative and inclusive work environment with exposure to cross-region operations.
• Health and wellness benefits.
• Flexible working arrangements.

Expected salary:

Location: Sydney, NSW

Job date: Wed, 11 Jun 2025 22:15:29 GMT

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