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.

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.
• Keep up to date with new or changing legislation and regulations that may apply to Pepperstone’s licensing and operations and provide guidance to the business on the impact of these changes.
• 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