Compliance And Cfd Supervisory Officer

Summary

Join Pepperstone as their Compliance & CFD Supervisory Officer and play a pivotal role in ensuring the company's CFD business operates in full compliance with regulations. Reporting to the Compliance Manager & MLRO, you will provide support to the Compliance function, ensuring alignment with group-wide standards. Registered with the Securities Commission, you will ensure the company meets local and international regulatory expectations. Key responsibilities include overseeing compliance, ensuring effective systems and controls, working with stakeholders on compliance policies, informing senior management of risks, and assisting with regulatory reporting. This role requires at least 3 years of experience in AML, Governance, Risk, and Compliance within financial services, relevant qualifications for CFD Supervisor approval, and specific knowledge of the industry. Pepperstone offers a competitive salary, a collaborative culture, flexible and hybrid working options, personal development opportunities, and comprehensive benefits.

Requirements

• At least 3 years of experience in AML, Governance, Risk, and Compliance within the financial services sector
• Meet the relevant requirements to be approved as the CFD Supervisor by the SCB
• Experience working with or for a fintech company or a similar online/non face-to-face business model
• Solid knowledge of the retail OTC derivatives, Forex, and CFD industries
• Strong understanding of regulatory reporting, financial services regulations, anti-money laundering (AML) requirements, and risk management
• Holds an ICA, ACAMS, or other AML qualification recognised by the Securities Commission
• Familiarity with compliance management frameworks
• Exceptional analytical and problem-solving skills
• Excellent communication and collaboration abilities
• Clear, concise, and structured in providing accurate guidance
• Well-developed documentation and policy-writing skills
• Meticulous attention to detail
• Ability to thrive in a fast-paced, time-sensitive environment
• Capable of working effectively with teams and stakeholders across multiple time zones

Responsibilities

• Providing oversight of compliance with legislative and regulatory obligations
• Ensuring effective systems and controls for compliance and risk management
• Working with stakeholders to ensure that compliance policies, procedures and directives are in place and adhered to
• Ensuring that Senior Management is properly informed of any risks to the organisation
• Assisting with Board reports, regulatory reporting and interacting with the Regulator
• Conduct control testing and assist with Compliance Management Program reviews
• Managing customer KYC processes, including OCDD and ECDD
• Investigating and escalating unusual activity reports to Compliance Manager and MLRO
• Supporting compliance reviews of Marketing and Financial promotions
• Assisting with escalated ECDD requests from the AML team
• Contributing to risk assessments and AML/Regulatory Audit preparations
• Resolving compliance-related queries from internal stakeholders
• Developing, reviewing, and updating Compliance policies and procedures
• Supporting dispute resolution and managing escalated complaints
• Staying up to date on changes in legislation and regulations impacting operations

Benefits

• 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
• Ongoing personal development & learning opportunities
• 3 paid volunteering days per year & Workplace Giving Program
• Periodic recognition and reward programs for outstanding performance and achievements
• Frequent events and celebrations
• Comprehensive medical insurance with coverage for your healthcare needs
• Employee Assistance Program & Wellbeing Initiatives