Compliance Specialist
vor 3 Monaten
The Pepperstone story started in 2010.
We know what it's like to trade the world's markets.
Our team describes us as a place for the curious and the driven, and we like to do things a little differently; as a transformative global fintech we're digital, nimble, connected, and united in our vision to create a better way to trade.
We thrive on progress – for our clients and for ourselves.
Our organizational culture is ever-evolving, vibrant, diverse, global and results focused.
You'll find our 350+ team currently across 9 locations and time zones.
The Role: Join us in Melbourne in this newly created Compliance Specialist role, where you'll have the unique opportunity to shape and lead the Regulatory Compliance framework.
Reporting directly to the Head of Compliance, Australia, you'll play a pivotal role in supporting the management of our regulatory relationships and working closely with relevant business stakeholders to deliver on the wider compliance team goals.
This is your chance to conduct impactful training, tackle regulatory queries, and collaborate with a dynamic team of compliance professionals.
As we continue to build a compliance-focused culture across Pepperstone's global business, your contributions will help us set the standard in the industry.
If you're ready to make a meaningful impact in a fresh, exciting role, we want to hear from you
Your key responsibilities will include, but not limited to: Answering and coordinating queries received from commercial stakeholders to resolve compliance-related issues and client complaints.
Assisting with the development and timely review of compliance policies and procedures.
Supporting the internal and external dispute resolution process and drafting complaint responses.
Conducting monitoring and control testing activities as outlined in the Pepperstone Compliance Management Framework and Compliance Monitoring Plan.
Preparing and timely submitting monthly CMP reports to inform management of ongoing compliance with obligations.
Designing and delivering a compliance training calendar for staff and the Board of Directors, including maintaining up-to-date training attendance records.
Assisting with assessing incidents, errors, and breaches while maintaining the relevant registers.
Maintaining internal registers, including gifts & entertainment, continual professional development, and conflicts of interest.
Keeping up to date with new or changing legislation and regulations that may apply to Pepperstone's licensing and operations, providing guidance on their impact.
Driving proactive improvements to reduce risk and enhance compliance standards while supporting business growth.
Working collaboratively with stakeholders to ensure compliance obligations are understood and managed.
Ensuring timely preparation and submission of periodic and ad hoc reports to management and relevant stakeholders.
Supporting business units by providing guidance on compliance matters related to the development and implementation of new product offerings.
Providing ongoing support for any regulatory inquiries, inspections, and investigations.
About you: Minimum of 3 years of regulatory compliance experience in the financial services industry; experience with OTC derivatives is a plus.
Proven experience working for or with a fintech or similar online/non-face-to-face business model.
Strong understanding of Australian financial services laws and regulations.
Familiarity with compliance management frameworks.
Excellent analytical and problem-solving skills.
Strong communication and collaboration abilities, with the capacity to provide structured, concise, and accurate guidance.
Well-developed skills in documentation and policy writing.
Excellent attention to detail and commitment to accuracy.
Ability to thrive in a fast-paced, time-critical environment.
Willingness to work effectively with geographically distributed teams and stakeholders.
Current full working rights in Australia Why you will enjoy working with us: Competitive salary structure including company bonus scheme Genuinely collaborative and friendly culture Flexible and hybrid working Remote working option - work from anywhere for up to 6 weeks per year, in addition to hybrid working as standard Ongoing personal development & learning opportunities 15 weeks paid primary carers parental leave & 4 weeks paid secondary carers leave 3 paid volunteering days per year & Workplace Giving Program Frequent events and celebrations including a standard weekly social Beautifully renovated large office at Collins Square - 727 Collins Street, Melbourne Best in class end of trip facilities including bicycle parking, change rooms & showers A full stocked kitchen, onsite coffee machines with locally sourced coffee beans (this is Melbourne after all) and curated specialty teas More about Pepperstone We're a regulated online Forex and CFD trading platform.
With the scale of a global fintech and the agility of a start-up, we arm our clients with everything they need to take on the global markets with confidence.
You will be part of a wider passionate and friendly team, and whilst things may not always go to plan, we learn quickly and move forward with impact.
To learn even more visit Pepperstonecareers.com and
We understand it's important to do due diligence on a prospective employer, see what our team are saying on Glassdoor .
We respect our team members' experiences and will never pay to remove a negative review.
Pepperstone is an equal opportunity employer.
We are passionate about building a diverse workplace and strongly encourage applications from any background.
"We are a 2023 Circle Back Initiative Employer – we respond to every applicant".
We will be reviewing applications as they come through, so if this is an opportunity that excites you, don't wait.
Express your interest by clicking the apply button below as soon as possible.
Note to external agencies: While we appreciate the efforts of external recruitment agencies, we prefer to engage directly with applicants for this opportunity.
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