US Exchange Settlement

ZERO Markets is seeking a US Exchange Settlement Officer for its Sydney office. The role involves compliance monitoring, transaction oversight, and regulatory reporting to ensure adherence to Australian and U.S. financial regulations. Key responsibilities include conducting due diligence, managing KYC processes, monitoring trading activities, and overseeing corporate actions. Candidates should have a relevant degree and 1-3 years of experience in financial services operations.
About the Role

We are looking for a versatile and detail-oriented US Exchange Settlement Officer to join our Security Brokerage operations team in Sydney CBD. This role spans across compliance monitoring, transaction oversight, and regulatory reporting, ensuring our trading platform operates smoothly and adheres to both Australian and U.S. financial regulations.

Responsibilities
• Conduct customer due diligence (CDD) and enhanced due diligence (EDD) for high-risk profiles.
• Review and approve onboarding documentation in line with AML/CTF guidelines.
• Operate within our KYC integration platform (e.g. Sumsub) and manage exception handling for flagged cases.
• Monitor client trading patterns and identify suspicious or high-risk activity.
• Collaborate with compliance and senior management on risk reviews and internal reporting. Track and update internal registers (e.g., high-risk flags, ongoing monitoring triggers). Assist with internal training records and compliance policy updates.
• Maintain and administer the trading platform infrastructure, including user account lifecycle, access permissions, 2FA settings, and system backups.
• Coordinate integration and daily operation with external partner admin/management portals.
• Oversee the handling of corporate actions (e.g., dividends, stock splits, mergers) and ensure market events are communicated to clients accurately and in a timely manner.

Requirements
• Bachelor’s degree in Law, Business, Finance, or related field.
• 1–3 years of experience in financial services operations, compliance, or brokerage back office.
• Working knowledge of AML/CTF legislation, AUSTRAC reporting, and ASIC guidelines.
• Familiarity with KYC solutions (e.g. Sumsub) and CRM/onboarding systems.
• Strong attention to detail, confidentiality, and ability to follow through on regulatory tasks.