Compliance Analyst

2 weeks ago

Sydney, New South Wales, Australia Saxo Bank Full time
Compliance Analyst

About the Job:

About Saxo
Located in Sydney Australia, Saxo Capital Markets (Australia) Ltd. is a licensed subsidiary of Saxo Bank, Denmark.

Saxo Capital Markets provides access to global markets for our local customers, and serves as a gateway to APAC markets for our global customers.

Saxo enables individual and institutional clients to trade more than 60,000 instruments globally from one single margin account and provides institutional clients such as banks and fintech with Open Banking solutions from multi-asset execution, prime brokerage services to trading technologies.

Saxo's multi-asset platform provides access to trade across FX, FX Options, Futures, Stock Options, Stocks, Bonds, CFD's, Indices, etc.

Our clients include Banks & Brokers, Fund Managers, Private Banks, Corporates, Investment Managers and Family Offices, HNW and retail clients.


About the Team and Role


Compliance is a key team that ensures Saxo Market's products and processes meet the spirit of regulatory requirements, but in so-doing, also adds value to the business by translating 'compliance' into good customer outcomes.

Key to this is the Team's facilitation of open and transparent relationships internally and externally.

Thus, while this role reports directly to the AU Head of Compliance, this role works closely also with Legal, Risk, Sales, off/onshore Operational teams, as well as with our regulators.

Underpinning a strong Compliance team at Saxo Markets are four essential pillars:

  • Having strong, clear & collaborative communication
  • Being a selfstarter that is willing to get handson with relevant business problems that need investigating/solving
  • Taking a balanced approach/lens between commercial and regulatory compliance objectives
  • Being a data and evidenceled function that consciously avoids cognitive biases


While relevant experience will be considered, your ability to uphold those four pillars will be more of a priority to us.

If you sense this team and role is right for you, we'd love to hear from you

Main Tasks and/or Responsibilities

  • Assisting in the monitoring, investigating, testing and reporting on the effectiveness of our compliance framework;
  • Assisting in the drafting of groupwide reports on key incidents or said thematic reviews;
  • Initial drafting of periodic reports to Committees and Business Management/the Board;
  • Assist in maintaining strong relationships with internal stakeholders;
  • Assist in the periodic reviews/updates to Policies and Procedures as well as client terms & agreements;
  • Assist in regulatory/compliancerelated responses to internal business units;
  • Assist in maintain compliance registers, including Breaches, Conflicts of Interests and Training; and
  • Keep up to date with legal and regulatory changes, including continuous development of an understanding of the Corporations Act and be able to refer to other relevant legislations.
  • May be required to complete continual training and educational requirements.

Requirements:

  • 02 years' experience in Legal and/or Compliance within Financial Services;
  • Have a fundamental understanding of the Corporations Act and be able to refer to other relevant legislations;
  • Knowledge/understanding of, or has a strong interest in, the Australian equity and derivatives market; and
  • General financial markets knowledge.
  • Strong (having clear and wellstructured) written and verbal communication;
  • Ability to distil complex and cumbersome regulation or issues into plain English;
  • You are easy to work with, and want to work in a fun, fastgrowing but demanding young company;
  • Strong attention to detail;
  • Highly organised; and
  • Able to work with business units to help effective and efficient solutions.

We offer:

We get curious people invested in the world


When you work at Saxo, you become a Saxonian and part of a purpose-driven organisation, where good ideas are always taken seriously, and where you can make a true impact.

We are invested in your development, and you can expect a robust career from day one when you join Saxo - no matter which role you take on.

You will join 2,500 other ambitious colleagues across 15 countries and become part of an international organisation.

Working in Saxo, you will get to meet colleagues from many different cultures and backgrounds, and you should know that we value diversity and inclusion and see it as a genuine source of strength to drive growth, foster innovation and position us for long-term success.

We encourage an open feedback culture and supportive team environments enabling employees to grow and fulfil their career aspirations.


When you bring passion, curiosity, drive and team spirit, your learning journey will be dynamic and your career opportunities in Saxo will be immense.

At Saxo we don't just offer a job - we offer an opportunity to invest in your future

How to apply:

Click here to create an account and upload your resume and a sho

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