Senior Compliance Analyst

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 700+ team currently across 12 locations and 9 time zones.

The Role

This unique role involves responsibilities related to the day-to-day management of the broader Regulatory Compliance framework and all aspects of the AML/CTF Program.

The Regulatory Compliance responsibilities will have you involved in a broad variety of duties, including but not limited to, updating and implementing compliance policies and procedures, staff compliance training, monitoring and supervision and more.

As part of a collaborative and friendly Compliance team, you will work with other Compliance professionals to ensure accurate compliance records and reporting, provide administrative support, develop shared initiatives and embed and maintain a compliance focused culture across Pepperstone’s global business

As our Senior Compliance Analyst, your key responsibilities include, but not limited to:

• Conduct control testing activities by assisting with continuous and thematic reviews of the Compliance Management Program.
• Initiate and review customer KYC processes such as OCDD and ECDD as required during the day-to-day BAU.
• Conduct and manage investigations of unusual activity reports and escalate where necessary to the Compliance Manager & MLRO.
• Assist with Marketing & Financial promotion reviews for adherence with internal polices, local rules and regulations.
• Assist with reviewing and responding to escalated ECDD requests from the AML transaction monitoring program and provide subject matter expertise and support to the AML team.
• Assist the Compliance Manager with conducting risk assessments and with preparation of any internal or external AML or Regulatory Audits.
• Review and answer queries received via all communication channels from internal stakeholders to resolve compliance-related queries or issues.
• Assist with the development and review of Compliance policies and procedures.
• Assist the group Complaints & Recovery Specialist with the internal dispute resolution process and manage and respond to escalated Complaints from internal or external stakeholders.
• Assist with assessing incidents, errors and breaches and maintain the relevant registers.
• Assist with the development and delivery of compliance training with various client facing teams.
• Keep up to date with new or changing legislation and regulations that may apply to Pepperstone’s licensing and operations.
• 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.
  

About you

• Minimum 3 years of AML and Compliance experience in the financial services industry
• Experience working for or with a fintech or similar online/non face to face business model
• Sound understanding of the regulatory reporting, local financial services regulations, anti-money laundering requirements and risk management.
• AML, compliance or risk qualifications such as ACAMS, CFCS or equivalent.
• An understanding or awareness of compliance management frameworks
• Strong analytical and critical thinking skills, outstanding attention to detail
• Strong communication and collaboration skills
• Articulate and able to provide structured, concise, considered, and accurate guidance
• Well-developed documentation and policy writing skills
• Ability to work in a fast-paced and time-critical environment
• Ability to work effectively with teams and stakeholders that are across multiple time zones.
  

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 4 weeks per year
• Ongoing personal development & learning opportunities
• 3 paid volunteering days per year & Workplace Giving Program
• Periodic recognition and reward programs for outstanding performance and achievements
• Frequent events and celebrations
• Comprehensive medical insurance with coverage for your healthcare needs
• Employee Assistance Program & Wellbeing Initiatives
  

More about Pepperstone

We’re a regulated online Forex and CFD trading platform. With the scale of a global fintech and the agility of a start-up, we arm our clients with everything they need to take on the global markets with confidence. You will be part of a wider passionate and friendly team, and whilst things may not always go to plan, we learn quickly and move forward with impact. To learn even more visit Pepperstonecareers.com and www.linkedin.com/company/pepperstone/

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

Pepperstone is an equal-opportunity employer. We are passionate about building a diverse workplace and strongly encourage applications from any background.

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

We will be reviewing applications as they come through, so if this is an opportunity that excites you, don't wait. Express your interest by clicking the apply button below as soon as possible.

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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