Compliance Manager

Compliance & Risk · Melbourne, Victoria
Department Compliance & Risk
Employment Type Perm Full-Time
Minimum Experience Manager/Supervisor

The Pepperstone story started in 2010. Our team describe 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 career in finance 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. Our culture reflects our values and global positioning; proudly diverse and inclusive, adaptive, progressive, collaborative and fixated on results and our clients. 

The Role

Our Compliance team is passionate about GRC (Governance, Risk and Compliance) and are a trusted group of partners, adding value and working collaboratively to achieve Pepperstone’s goals and objectives. Reporting to the Regional Head of Compliance, the new Compliance Manager will be actively contributing to the regional and global initiatives at Pepperstone, enhancing the existing regulatory compliance framework and processes. You will be leading a team and be promoting a strong enterprise-wide compliance culture through the day-to-day management of Pepperstone Group Limited’s regulatory compliance framework and strategy.

To thrive in this role, you will possess a strong understanding of the Australian financial services’ regulatory environment and be passionate about leading a team and working autonomously in a fast paced, dynamic and value driven environment.

Your days will include, but not be limited to:

  • Contributing to the regional and group Compliance team and enterprise-wide compliance framework and objectives
  • Providing compliance advisory services to internal stakeholders and participating in relevant projects
  • Identifying and ensuring coverage of all applicable financial services and other relevant legislation
  • Designing, implementing, and reviewing compliance policies and maintaining associated compliance registers
  • Working with the Compliance team in our international offices to implement common initiatives and projects and leverage efficiencies
  • Identifying risks and working closely with stakeholders to manage and respond to those risks effectively
  • Managing the EDR process, responses and case management and designated regulatory reporting obligations
  • Managing compliance incidents and breaches including investigations, assessments, and reporting
  • Managing and leading the Compliance team and assisting with managing Compliance team members in other group jurisdictions
  • Preparation of necessary reports for senior management and the Compliance Committee and assisting with Board reporting as required
  • Keeping up to date with new or changing legislative requirements that may apply to the business and providing assistance with adopting and implementing changes


To be successful, you will have:

  • Proven regulatory knowledge and practical experience pertaining to key legislation including (at a minimum) AFS licensee obligations, AML/CTF Act and Privacy Act
  • 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
  • Demonstrated people leadership experience in an Australian financial service regulatory role with a proven ability to lead, coach and mentor
  • Exceptional verbal and written communication, including presentation skills
  • Excellent interpersonal and influencing skills to build and maintain stakeholder relationships at all levels

At Pepperstone, we value your commitment to ongoing learning and development.

Perks & Benefits:

  • Competitive salary
  • Genuinely collaborative and friendly culture
  • Flexible working arrangements – we value work-life balance
  • Generous parental leave policy
  • Fully stocked kitchen with lots of snacks
  • End-of-Trip Facilities: Bicycle parking and showers
  • Ongoing Personal Development & Training
  • Employee Assistance Program
  • Frequent team events and celebrations


About Pepperstone

Pepperstone is an online Forex and CFD Broker providing traders globally cutting-edge technology to trade the world’s markets. Our award-winning combination of outstanding client service coupled with low-cost pricing across all FX, CFDs and Commodities has resulted in Pepperstone being one of the world’s fastest growing FX brokers. Our focus is to support every one of our clients’ quests for trading mastery.

Check out what our team are saying on Glassdoor!


Please express your interest by applying above as soon as possible!


Pepperstone is an equal opportunity employer.


Thank You

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  • Location
    Melbourne, Victoria
  • Department
    Compliance & Risk
  • Employment Type
    Perm Full-Time
  • Minimum Experience