Compliance Analyst

7 months ago

Sydney, 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 self-starter that is willing to get hands-on with relevant business problems that need investigating/solving
- Taking a balanced approach/lens between commercial and regulatory compliance objectives
- Being a data and evidence-led 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 group-wide 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/compliance-related 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**:

- 0-2 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 well-structured) 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, fast-growing 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**:
Risk & Compliance is Saxo Bank's independent, second line of defense. The department supports the Group's Management in ensuring "no surprises" while at the same time supporting prudent business development and growth. We also monitor and assess the adequacy and effectiveness of the measures and procedures put in place to comply with rules and regulations, and the actions taken to address any deficiencies in Saxo Bank's compliance with the regulations.

The department consists of several teams, each of which has their own responsibility in covering the Risk & Compliance area.

We aspire to be a non-hierarchical, purpose-driven organisation. At Saxo, it is not about entitlement; it is about impact - no matter where you sit in the organisation. A good idea is always taken seriously and you can truly make a difference.

When you work here, you become a Saxonian. Obviously you will get an attractive compensation package. But we also invest in your personal development and offer you large responsibility from day one. We encourage an open feedback culture and a supportive team environment. If you show a collaborative spirit, drive and passion, your learning curve will be steep and your (intern

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