Compliance Officer

1 week 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.

  • Compliance Officer

    4 weeks ago

    Sydney, New South Wales, Australia Independent Reserve Full time

    Compliance Officer RoleWe are seeking a highly skilled and detail-oriented Compliance Officer to join our team at Independent Reserve in Sydney.In this critical role, you will be responsible for supporting the Compliance Manager and Chief Risk Officer to ensure that our company adheres to legal standards and internal policies.Key Responsibilities:Conduct...

  • Compliance Officer

    1 month ago

    Sydney, New South Wales, Australia Independent Reserve Full time

    Compliance Officer RoleWe are seeking a highly skilled and detail-oriented Compliance Officer to join our team at Independent Reserve in Sydney.In this critical role, you will be responsible for supporting the Compliance Manager and Chief Risk Officer to ensure that our company adheres to legal standards and internal policies.Key Responsibilities:Conduct...

  • Compliance Officer

    1 month ago

    Sydney, New South Wales, Australia Independent Reserve Full time

    Compliance Officer RoleWe are seeking a highly skilled and detail-oriented Compliance Officer to join our team at Independent Reserve in Sydney.In this critical role, you will be responsible for supporting the Compliance Manager and Chief Risk Officer to ensure that our company adheres to legal standards and internal policies.Key Responsibilities:Conduct...

  • Compliance Officer

    3 weeks ago

    Sydney, New South Wales, Australia Real Time Full time

    Compliance Officer RoleWe are seeking a highly skilled Compliance Officer to join our team and lead APAC operations. As a key member of our organization, you will play a pivotal role in ensuring our adherence to all applicable laws, regulations, and ethical standards.Key Responsibilities:Monitor compliance activities, conduct audits, and investigate...

  • Compliance Officer

    3 weeks ago

    Sydney, New South Wales, Australia Real Time Full time

    Compliance Officer RoleWe are seeking a highly skilled Compliance Officer to join our team and lead APAC operations. As a key member of our organization, you will play a pivotal role in ensuring our adherence to all applicable laws, regulations, and ethical standards.Key ResponsibilitiesMonitor compliance activities, conduct audits, and investigate potential...

  • Compliance Officer

    4 weeks ago

    Sydney, New South Wales, Australia Real Time Full time

    Compliance Officer RoleWe are seeking a highly skilled Compliance Officer to join our team and lead APAC operations. As a key member of our organization, you will play a pivotal role in ensuring our adherence to all applicable laws, regulations, and ethical standards.Key ResponsibilitiesMonitor compliance activities, conduct audits, and investigate potential...

  • Compliance Officer

    3 weeks ago

    Sydney, New South Wales, Australia Real Time Full time

    Compliance Officer RoleWe are seeking a highly skilled Compliance Officer to join our team in APAC operations. As a key member of our organization, you will play a pivotal role in ensuring our adherence to all applicable laws, regulations, and ethical standards.Key Responsibilities:Monitor compliance activities, conduct audits, and investigate potential...

  • Compliance Officer

    2 weeks ago

    Sydney, New South Wales, Australia Real Time Full time

    Compliance Officer RoleWe are seeking a highly skilled Compliance Officer to join our team and lead APAC operations. As a key member of our organization, you will play a pivotal role in ensuring our adherence to all applicable laws, regulations, and ethical standards.Key Responsibilities:Monitor compliance activities, conduct audits, and investigate...

  • Compliance Officer

    4 weeks ago

    Sydney, New South Wales, Australia Real Time Full time

    Compliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team and lead APAC operations. As a key member of our organization, you will play a pivotal role in ensuring our adherence to all applicable laws, regulations, and ethical standards.Key Responsibilities:Monitor compliance activities, conduct audits, and...

  • Compliance Officer

    1 month ago

    Sydney, New South Wales, Australia Independent Reserve Full time

    About the RoleWe are seeking a highly skilled Compliance Officer to support our dynamic team in Sydney. As a key member of our Independent Reserve Group, you will play a crucial role in ensuring our company adheres to legal standards and in-house policies.Key ResponsibilitiesConduct thorough internal control reviews of our Australian and Singapore operations...

  • Compliance Officer

    2 weeks ago

    Sydney, New South Wales, Australia TR3 Recruitment Full time

    Job SummaryWe are seeking a highly skilled Compliance Officer to join our team at TR3 Recruitment. As a Compliance Officer, you will be responsible for ensuring that our client's not-for-profit organisation adheres to regulatory standards and maintains high standards of compliance and governance.Key ResponsibilitiesWork collaboratively with the...

  • Compliance Officer

    4 weeks ago

    Sydney, New South Wales, Australia Trip Full time

    About UsTrip is a leading online travel brand that has been expanding its global presence since 1999. With a strong presence in Asia, Europe, the Americas, and Oceania, we strive to deliver the perfect trip at the best price for every traveler.The RoleWe are seeking a highly skilled Compliance Officer to join our team at Triplink International BV. As a key...

  • Compliance Officer

    1 week ago

    Sydney, New South Wales, Australia Profusion Group Full time

    About the Role:We are seeking a highly skilled Compliance Officer to join our team at Profusion Group. As a key member of our Risk and Compliance function, you will be responsible for developing and maintaining obligations registers and controls testing frameworks.Key Responsibilities:Develop and maintain obligations registers and controls testing...

  • Compliance Officer

    3 weeks ago

    Sydney, New South Wales, Australia Linfox Pty Ltd Full time

    Compliance Manager RoleLinfox Pty Ltd is seeking a Compliance Manager to partner with our operational sites across NSW & VIC, ensuring compliance standards are met within our operations.Key Responsibilities:Ensure all Intermodal sites in NSW/VIC operate in compliance with NHVR & HVNL standards, including NHVAS Maintenance, NHVAS Mass, and NHVAS Fatigue...

  • Compliance Officer

    1 month ago

    Sydney, New South Wales, Australia InterSystems Full time

    Job SummaryThe Compliance Officer plays a vital role in ensuring InterSystems adheres to all applicable laws, regulations, and the company's code of ethical conduct. This position involves monitoring compliance activities, conducting audits, and investigating potential compliance violations.Key ResponsibilitiesMonitoring and EnforcementEnsure the...

  • Compliance Officer

    4 weeks ago

    Sydney, New South Wales, Australia InterSystems Full time

    Job SummaryThe Compliance Officer plays a vital role in ensuring InterSystems adheres to all applicable laws, regulations, and the company's code of ethical conduct. This position involves monitoring compliance activities, conducting audits, and investigating potential compliance violations.Key ResponsibilitiesMonitoring and Enforcement:Ensure the...

  • Compliance Officer

    4 weeks ago

    Sydney, New South Wales, Australia Opal HealthCare Full time

    About the RoleWe are seeking a highly skilled Compliance Officer to join our team at Opal HealthCare. As a key member of our finance team, you will be responsible for processing subsidy accruals and reconciliations related to government subsidy entitlements.Key ResponsibilitiesAccurate and timely processing of funding accruals and reconciliations, including...

  • Compliance Officer

    4 weeks ago

    Sydney, New South Wales, Australia University of New South Wales Full time

    Job Title: Compliance Assistant, International Student ComplianceJoin the University of New South Wales as a Compliance Assistant, International Student Compliance, and contribute to the success of our international student community.About the RoleThis fixed-term part-time position is an exciting opportunity to work in a dynamic team, providing...

  • Research Compliance Officer

    4 weeks ago

    Sydney, New South Wales, Australia UNSW Australia Full time

    UNSW Australia Research Compliance OfficerJob Summary:The Research Compliance Officer will work within the Pre-award Team assisting with the review of research grant applications for compliance with funding body rules and instructions; provide accurate and timely feedback to researchers; and ensure that grants are compliant and submitted on time.About the...

  • Compliance Officer

    3 weeks ago

    Sydney, New South Wales, Australia Saxo Bank Full time

    Compliance Officer Role Summary:Saxo Capital Markets (Australia) Ltd. is a licensed subsidiary of Saxo Bank, Denmark, providing access to global markets for local customers and serving as a gateway to APAC markets for global customers. Our multi-asset platform offers access to trade across FX, FX Options, Futures, Stock Options, Stocks, Bonds, CFD's,...