Compliance Manager MLRO
Pepperstone, Bahamas
Job Description
The Pepperstone story started in 2010. Our team describes us as a place for the creative and the driven. We’re a team who do things a little differently: we’re a global fintech that was born digital, nimble, connected, and united in our purpose to truly support every one of our customers’ quests for trading mastery. Our people are motivated to develop their careers in FinTech in a vibrant and fast-paced environment. We thrive on progress for our traders and for ourselves. We possess a unique organisational culture, combined with a vibrant and fast-paced working environment for driven people who want to grow their career in finance and do so with one of the world's fastest-growing FX brokers.
The Role
The Compliance Manager amp; MLRO is responsible for the delivery of the Compliance Management Framework, AML/CTF Program and associated activities, including the maintenance of policies and procedures, monitoring and supervision, delivery of the compliance monitoring program and regulatory reporting.
This is an individual contributor role working closely with the CFD Supervisory Officer and the group Compliance amp; Risk function to ensure legislative requirements are met. The role requires someone who is willing to roll up their sleeves to deliver daily compliance activities whilst also being able to think strategically and proactively deliver on goals and objectives.
Your key responsibilities will include, but not limited to:
- Assisting with and handling enquiries from regulatory authorities
- Setting the strategy and delivery of the Compliance Management Program
- Enhancing Pepperstone’s existing regulatory compliance framework and processes including measurements, monitoring, assessments and controls
- Maintaining the Compliance Obligations Register
- Continuously reviewing the Compliance Monitoring Program, completion of monitoring activities and reporting on identified control issues and areas of remediation
- Managing compliance incidents and breaches including investigations, assessments and reporting
- Drafting, implementing, monitoring, and reviewing compliance policies and maintaining associated compliance register
- Performing the role of designated MLRO with responsibility for the AML/CTF Program and implementation of associated obligations
About you:
- Minimum 3 years proven regulatory knowledge and practical experience pertaining to key financial services legislation such as the Securities Industry Act and Regulations,, AML/CTF and Data Protection
- Forex and CFD industry or OTC derivative experience
- Hold the required Compliance Officer amp; MLRO qualifications and experience pursuant to the Securities Industries Act 2011
- Demonstrated experience in developing, implementing, and managing compliance and AML/CTF frameworks and control environments
- Ability to interpret regulatory policy and establish solutions for its implementation and fast adoption
At Pepperstone, we value your commitment to ongoing learning and development
Why you will enjoy working with us:
- Competitive salary structure
- Genuinely collaborative and friendly culture
- Flexible and hybrid working arrangements we value work-life balance
- Ongoing Personal Development amp; Training
- Frequent team events and celebrations
Working at Pepperstone
We're a nimble global company, we respond to changes in the markets and regulatory environment quickly. This means we need to collaborate and communicate! You will be part of a wider passionate and friendly team, and whilst things may not always go to plan, we learn quickly and continually make progress. You'll also build your career in a supportive environment, with a focus on results, as well as professional and personal growth opportunities.
Check out what our team is saying on Glassdoor!
In light of the upcoming holiday season, we understand that you may not be available to participate in the selection process in the next few days. Applications for this position will be reviewed from the week of 9th January 2023, and suitable applicants will be invited to interview from the week of 16th January 2023.
If you are ready to embark on your next role in the new year, click on the apply button below.
https://pepperstonecareers.com/
Pepperstone is an equal opportunity employer. We are passionate about building a diverse workplace and we strongly encourage applications from any background.