Compliance Officer

4 weeks ago

Sydney, New South Wales, Australia Saxo Bank Full time

About the Role:

Saxo Bank is seeking a highly motivated and detail-oriented Compliance Officer to join our team in Sydney, Australia. As a Compliance Officer, you will play a critical role in ensuring that our products and processes meet the spirit of regulatory requirements.

Main Responsibilities:

  • Assist in the monitoring, investigating, testing, and reporting on the effectiveness of our compliance framework.
  • Assist in the drafting of group-wide reports on key incidents or 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 managing regulatory licence applications and providing AU regulatory guidance/best practice to onshore/offshore teams.
  • Assist in maintaining compliance registers, including Breaches, Conflicts of Interests and Training.
  • 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.

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.
  • 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.
  • Able to work with business units to help effective and efficient solutions.

About Saxo Bank:

Saxo Bank is a licensed subsidiary of Saxo Bank, Denmark, and provides access to global markets for our local customers, and serves as a gateway to APAC markets for our global customers. We enable individual and institutional clients to trade more than 60,000 instruments globally from one single margin account and provide institutional clients such as banks and fintech with Open Banking solutions from multi-asset execution, prime brokerage services to trading technologies.

What We Offer:

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.

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

How to Apply:

Click here to create an account and upload your resume and a short motivation. We look forward to getting to know you better.

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