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Compliance Specialist

1 month ago

Melbourne, Victoria, Australia Pepperstone Full time
About Pepperstone

We are a global fintech company, passionate about building a diverse workplace and providing innovative solutions for our clients. Our culture is ever-evolving, vibrant, and results-focused, with a strong commitment to compliance and regulatory excellence.

Job Overview

We are seeking a highly skilled Compliance Specialist to join our team in Melbourne, Australia. As a key member of our compliance team, you will play a pivotal role in shaping and leading our Regulatory Compliance framework. Reporting directly to the Head of Compliance, Australia, you will support the management of our regulatory relationships and work closely with relevant business stakeholders to deliver on wider compliance team goals.

Key Responsibilities
  • Answering and coordinating queries received from commercial stakeholders to resolve compliance-related issues and client complaints.
  • Assisting with the development and timely review of compliance policies and procedures.
  • Supporting the internal and external dispute resolution process and drafting complaint responses.
  • Conducting monitoring and control testing activities as outlined in the Pepperstone Compliance Management Framework and Compliance Monitoring Plan.
  • Preparing and timely submitting monthly CMP reports to inform management of ongoing compliance with obligations.
  • Designing and delivering a compliance training calendar for staff and the Board of Directors, including maintaining up-to-date training attendance records.
  • Assisting with assessing incidents, errors, and breaches while maintaining the relevant registers.
  • Maintaining internal registers, including gifts & entertainment, continual professional development, and conflicts of interest.
  • Keeping up to date with new or changing legislation and regulations that may apply to Pepperstone's licensing and operations, providing guidance on their impact.
  • Driving proactive improvements to reduce risk and enhance compliance standards while supporting business growth.
  • Working collaboratively with stakeholders to ensure compliance obligations are understood and managed.
  • Ensuring timely preparation and submission of periodic and ad hoc reports to management and relevant stakeholders.
  • Supporting business units by providing guidance on compliance matters related to the development and implementation of new product offerings.
  • Providing ongoing support for any regulatory inquiries, inspections, and investigations.
About You
  • A minimum of 3 years of regulatory compliance experience in the financial services industry; experience with OTC derivatives is a plus.
  • Proven experience working for or with a fintech or similar online/non-face-to-face business model.
  • A strong understanding of Australian financial services laws and regulations.
  • Familiarity with compliance management frameworks.
  • Excellent analytical and problem-solving skills.
  • Strong communication and collaboration abilities, with the capacity to provide structured, concise, and accurate guidance.
  • Well-developed skills in documentation and policy writing.
  • Excellent attention to detail and commitment to accuracy.
  • An ability to thrive in a fast-paced, time-critical environment.
  • A willingness to work effectively with geographically distributed teams and stakeholders.
Why Join Us
  • A competitive salary structure including a company bonus scheme.
  • A 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.
  • Frequent events and celebrations including a standard weekly social.
  • A beautifully renovated large office at Collins Square - 727 Collins Street, Melbourne.
  • Best in class end of trip facilities including bicycle parking, change rooms & showers.
  • A full stocked kitchen, onsite coffee machines with locally sourced coffee beans (this is Melbourne after all) and curated specialty teas.