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Compliance Specialist

2 months ago

Sydney, New South Wales, Australia Saxo Bank Full time
About Saxo Bank

Saxo Bank is a leading online trading and investment platform that provides access to global markets for individuals and institutions. With a presence in 15 countries, Saxo Bank offers a wide range of financial products and services, including FX, CFDs, stocks, options, futures, and more.

About the Role

We are seeking a highly motivated and detail-oriented Compliance Analyst to join our team in Sydney, Australia. As a Compliance Analyst, you will play a critical role in ensuring that our business operations comply with relevant laws and regulations. Your primary responsibilities will include monitoring and investigating compliance risks, drafting reports, and maintaining strong relationships with internal stakeholders.

Main Responsibilities
  • Assist in the monitoring and investigation of compliance risks and incidents
  • Draft reports on key compliance issues and thematic reviews
  • Assist in the drafting of periodic reports to committees and business management
  • Maintain strong relationships with internal stakeholders, including sales, risk, and legal teams
  • Assist in the periodic review and update of policies and procedures
  • Assist in regulatory compliance-related responses to internal business units
  • Manage regulatory licence applications and provide guidance on best practices
  • Maintain compliance registers, including breaches, conflicts of interest, and training
Requirements
  • 0-2 years' experience in legal and/or compliance within financial services
  • Fundamental understanding of the Corporations Act and relevant legislations
  • Knowledge of the Australian equity and derivatives market
  • Strong written and verbal communication skills
  • Ability to distil complex regulation into plain English
  • Strong attention to detail and organisational skills
About Us

Saxo Bank is a purpose-driven organisation that values diversity and inclusion. We offer a dynamic and supportive work environment, where you can grow and develop your career. If you are passionate about compliance and regulatory affairs, and want to work with a leading online trading and investment platform, we encourage you to apply.