Compliance Manager

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

Reporting directly to the Head of Compliance - UK , the Compliance Manager is a leadership role in driving a strong compliance culture through the day to day management of Pepperstone Limited's regulatory compliance framework.

Regulatory compliance responsibilities will have you managing a broad variety of duties, including the compliance monitoring plan, all aspects of the AML/CTF program, regulatory change implementation, involvement in projects, supervision of staff and more.

The role works closely with commercial stakeholders ensuring a pragmatic, responsive and commercially minded approach aligned to the organization's strategic objectives.

As part of a collaborative and friendly Global Compliance Team, you will work with other Compliance professionals to develop shared initiatives and embed and maintain a compliance focused culture across Pepperstone's global business.

Kindly note that this is a Fixed-Term contract for a period of 12 months

As our Compliance Manager, your key responsibilities will include:

• Working with global Pepperstone stakeholders to enhance and embed the regulatory compliance framework
• Overseeing the timely completion of the UK Compliance Monitoring Program
• Drafting, implementing, monitoring and reviewing compliance policies and procedures, and maintaining associated compliance registers
• Keeping up to date with new or changing regulatory requirements that may impact Pepperstone's operations and working with senior stakeholders to implement changes
• Managing and coordinating compliance educational material and providing training sessions
• Assisting the Head of Compliance in handling enquiries from regulatory authorities and maintaining associated registers
• Answering and coordinating compliance related queries received from commercial stakeholders
• Oversee the local client complaint handling procedures and provide input into resolution processes
• Demonstrate proactive leadership through coaching and providing guidance in meeting key regulatory obligations. This includes sharing experiences, industry knowledge, and constructive solutions to all Pepperstone staff
• Approval of financial promotions
• Driving proactive improvements to the business in ways that will reduce risk and raise compliance standards while still supporting business growth

About you

• 3+ years' experience in a financial services regulatory compliance role, preferably with AML compliance experience
• Outstanding English language skills (both written and verbal) essential
• Financial markets and compliance monitoring and/or operational risk experience preferred
• Strong communication and collaboration skills
• Strong analytical and problem-solving 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 in teams and with stakeholders that are geographically distribute

Why you will enjoy working with us

• Flexible and hybrid working
• Company paid sick leave
• Paid vacation leave
• Employee referral bonuses for referring top talent to the company
• Ongoing personal development & learning opportunities
• Frequent events and celebrations
• Genuinely collaborative and friendly culture
• Employee Assistance Program & Wellbeing Initiatives