Compliance Specialist

Summary

Join Pepperstone as their Compliance Specialist, a permanent full-time role. Key responsibilities include addressing compliance-related issues, reviewing policies and procedures, assisting with dispute resolution, conducting monitoring and testing activities, preparing reports, delivering compliance training, assessing incidents, maintaining internal registers, staying updated on legislation, and driving proactive improvements. The ideal candidate will have at least 3 years of compliance experience in financial services, preferably with OTC Derivatives experience and a good understanding of Australian financial services laws. Strong analytical, problem-solving, communication, and collaboration skills are essential. A Bachelor's Degree in a related field and regulatory compliance qualifications are desirable. Pepperstone offers a competitive salary, a collaborative culture, flexible and hybrid working options, personal development opportunities, generous parental leave, and various other benefits.

Requirements

• Minimum 3 years compliance experience in the financial services industry
• Experience working for or with a fintech or similar online/non face to face business model
• Good understanding of Australian financial services laws and regulations, including AML/CTF laws and regulations
• An understanding of compliance management frameworks
• Strong analytical and problem-solving skills
• Strong communication and collaboration skills
• Articulate and able to provide structured, concise, considered, and accurate guidance
• Well-developed documentation and policy writing skills
• Outstanding attention to detail
• Ability to work in a fast-paced and time-critical environment
• Ability to work effectively with teams and stakeholders that are geographically distributed

Responsibilities

• Answer and coordinate queries received by commercial stakeholders to resolve compliance-related issues and client complaints
• Assist with the development and timely review of Compliance policies and procedures
• Assist with the internal and external dispute resolution process and drafting complaint responses
• Conduct Monitoring and control testing activities outlined in the Pepperstone Compliance Management Framework and Compliance Monitoring Plan
• Prepare and timely submit monthly CMP Reports informing management on ongoing compliance with the compliance obligations
• Design and deliver compliance training calendar to staff and the Board of Directors. This shall include maintaining of up-to date staff training attendance records
• Assist with assessing incidents, errors and breaches and maintain the relevant registers
• Assist with the maintenance of internal registers including but not limited to gifts & entertainment, continual professional development, conflicts of interest etc
• Keep up to date with new or changing legislation and regulations that may apply to Pepperstone’s licensing and operations and provide guidance to the business on the impact of these changes
• Drive proactive improvements to the business in ways that will reduce risk and raise compliance standards while still supporting business growth
• Working collaboratively with stakeholders to ensure compliance obligations are understood and managed
• Ensure timely preparation and submission of periodic and ad hoc reports to management and relevant stakeholders
• Support business units in providing guidance on the compliance matters relating to development and implementation of new product offering
• Provide ongoing support on any regulatory inquiries, inspections and investigations

Preferred Qualifications

• Previous experience in OTC Derivatives will be favorable
• Bachelor's Degree in Law, Finance or any other related field
• Regulatory compliance or risk qualifications
• ICA

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, 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