Compliance Specialist

The Pepperstone story started in 2010. We know what it’s like to trade the world’s markets. Our team describes us as a place for the curious and the driven, and we like to do things a little differently; as a transformative global fintech we’re digital, nimble, connected, and united in our vision to create a better way to trade.

We thrive on progress - for our clients and for ourselves. Our organisational culture is ever-evolving, vibrant, diverse, global and results focused.
You’ll find our 550+ team currently across 11 locations and 9 time zones.

**Job Type**

Permanent full time.

**The Role**

As our Compliance Specialist, your key responsibilities include, but may not be limited to:
**Regulatory Compliance**
- Answer and coordinate queries received by commercial stakeholders to resolve compliance-related issues and client complaints.
- Assist with the development and timely review of Compliance policies and procedures.
- Assist with the internal and external dispute resolution process and drafting complaint responses.
- Conduct Monitoring and control testing activities outlined in the Pepperstone Compliance Management Framework and Compliance Monitoring Plan.
- Prepare and timely submit monthly CMP Reports informing management on ongoing compliance with the compliance obligations.
- Design and deliver compliance training calendar to staff and the Board of Directors. This shall include maintaining of up-to date staff training attendance records.
- Assist with assessing incidents, errors and breaches and maintain the relevant registers.
- Assist with the maintenance of internal registers including but not limited to gifts & entertainment, continual professional development, conflicts of interest etc.
- Drive proactive improvements to the business in ways that will reduce risk and raise compliance standards while still supporting business growth.
- Working collaboratively with stakeholders to ensure compliance obligations are understood and managed.
- Ensure timely preparation and submission of periodic and ad hoc reports to management and relevant stakeholders.
- Support business units in providing guidance on the compliance matters relating to development and implementation of new product offering.Provide ongoing support on any regulatory inquiries, inspections and investigations.
- **About you**
- Minimum 3 years compliance experience in the financial services industry;
- Previous experience in OTC Derivatives will be favorable.
- Experience working for or with a fintech or similar online/non face to face business model.
- Good understanding of Australian financial services laws and regulations, including AML/CTF laws and regulations.
- An understanding of compliance management frameworks.
- Strong analytical and problem-solving skills.
- Strong communication and collaboration skills
- Articulate and able to provide structured, concise, considered, and accurate guidance.
- Well-developed documentation and policy writing skills.
- Outstanding attention to detail.
- Ability to work in a fast-paced and time-critical environment. Ability to work effectively with teams and stakeholders that are geographically distributed.

**Desirable**
- Bachelor's Degree in Law, Finance or any other related field
- Regulatory compliance or risk qualifications ICA

**Why you will enjoy working with us**
- Competitive salary structure including company bonus scheme
- 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
- 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
- **More About Pepperstone**

We understand it’s important to do due diligence on a prospective employer, see what our team are saying on Glassdoor. We respect our team members’ experiences and will never pay to remove a negative review.

“We are a 2025 Circle Back Initiative Employer - we respond to every applicant”.

Note to external agencies: While we appreciate the efforts of external recruitment agencies, we prefer to engage directly with applicants for this opportunity.

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