Compliance Officer

1 month ago

Sydney, New South Wales, Australia Saxo Bank Full time

About the Job:

About Saxo

Saxo Capital Markets is a licensed subsidiary of Saxo Bank, Denmark. It provides access to global markets for its local customers, and serves as a gateway to APAC markets for its global customers.

Saxo's multi-asset platform offers a range of financial instruments globally from one single margin account. It provides institutional clients with Open Banking solutions, prime brokerage services, and trading technologies.

The company's clients include Banks & Brokers, Fund Managers, Private Banks, Corporates, Investment Managers, and Family Offices, HNW and retail clients.

About the Team and Role

The Compliance team ensures Saxo's products and processes meet regulatory requirements, adding value to the business by translating 'compliance' into good customer outcomes.

The role works closely with Legal, Risk, Sales, and Operational teams, as well as with regulators.

The team is underpinned by four essential pillars:

  • Strong, clear, and collaborative communication
  • A self-starter willing to get hands-on with relevant business problems
  • A balanced approach between commercial and regulatory compliance objectives
  • A data and evidence-led function avoiding cognitive biases

The ability to uphold these four pillars is a priority over relevant experience.

Main Tasks and/or Responsibilities

  • Assisting in monitoring, investigating, testing, and reporting on the effectiveness of the compliance framework
  • Drafting group-wide reports on key incidents or thematic reviews
  • Preparing initial periodic reports for Committees and Business Management/the Board
  • Maintaining strong relationships with internal stakeholders
  • Assisting in periodic reviews and updates to Policies and Procedures, as well as client terms & agreements
  • Assisting in regulatory/compliance-related responses to internal business units
  • Managing regulatory licence applications and providing AU regulatory guidance/best practice to onshore/offshore teams
  • Maintaining compliance registers, including Breaches, Conflicts of Interests, and Training
  • Staying up to date with legal and regulatory changes, including development of an understanding of the Corporations Act and other relevant legislations

Requirements

  • 0-2 years' experience in Legal and/or Compliance within Financial Services
  • Fundamental understanding of the Corporations Act and ability to refer to other relevant legislations
  • Knowledge/understanding of, or interest in, the Australian equity and derivatives market
  • General financial markets knowledge
  • Strong written and verbal communication
  • Ability to distil complex regulation or issues into plain English
  • Desire 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

We offer
When you work at Saxo, you become a Saxonian and part of a purpose-driven organisation. We are invested in your development, and you can expect a robust career from day one.

You will join 2,500 other ambitious colleagues across 15 countries and become part of an international organisation. 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.

We encourage an open feedback culture and supportive team environments enabling employees to grow and fulfil their career aspirations. 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

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