Head of Compliance

Summary

Join Pepperstone as the Regional Head of Compliance, a pivotal leadership role guiding a regional compliance team. You will develop and execute regional compliance strategies, manage regulatory risk, and ensure adherence to local and global regulations. This position requires collaboration with stakeholders, fostering a compliant culture, and driving performance improvements. The role demands strong leadership, communication, and strategic thinking skills, along with extensive experience in regulatory compliance within the financial services industry. You will report directly to the Chief Risk and Compliance Officer and work across multiple jurisdictions. This opportunity offers significant autonomy and the chance to make a significant impact.

Requirements

• Demonstrated a minimum of 10 years of regulatory compliance experience with an OTC derivatives issuer (CFD’s, leveraged FX) and AML/CTF experience in the financial services industry across multiple regions and over 2 years of managing a team
• Proven experience working under the following licences AU (AFSL licence), Dubai (DFSA licence), Kenya (CMA licence) and Bahamas (SCB licence)
• Strong understanding of the financial services and AML/CTF regulatory environment and licensing regimes
• Strong understanding of compliance management principles and industry best practice
• Proven leadership and communications skills with a track record of success and achieving results while effectively advising the business on compliance matters
• Comfortable functioning in a rapidly changing environment where real time compliance advice and guidance is required
• Demonstrated strategic thinking and time management skills
• Well-developed interpersonal and influencing skills with demonstrated ability to build and maintain stakeholder relationships and collaborate with multiple teams across functions and geographies
• Current and appropriate working rights in Australia

Responsibilities

• Developing and executing a regional compliance strategy aligned with the organization's vision, purpose, values, and goals
• Leading, managing, and developing the regional compliance function, setting consistent standards and providing business-oriented risk solutions
• Driving performance, improvement, and efficiency in compliance processes using technology and data
• Managing regulatory risk, ensuring compliance with local regulations and global requirements, and aligning with risk appetite
• Identifying, assessing, and mitigating the impact of legislative and regulatory requirements, and assisting with their implementation
• Guiding local compliance in the application of frameworks and acting as the escalation point for MLROs
• Co-managing the global Transaction Monitoring Program and Financial Crime Framework
• Overseeing and updating the global Compliance Risk Register and participating in risk register reviews
• Leading, managing, and developing team members across multiple jurisdictions
• Collaborating with the ERM team on business processes, controls, and GRC matters
• Reviewing and refreshing global compliance policies in collaboration with the CRCO
• Working on initiatives and projects with global compliance, leveraging best practices and standards
• Preparing regional compliance reports and assisting with board reports

Preferred Qualifications

Regulatory knowledge or experience in multiple jurisdictions will be an advantage

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