Senior Compliance Analyst
hace 1 semana
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 organizational culture is ever-evolving, vibrant, diverse, global, and results focused. You’ll find our 350+ team currently across 9 locations and time zones.
**The **Role**
In this distinctive position, you will take on responsibilities that revolve around the daily oversight of the broader Regulatory Compliance framework and all facets of the AML/CTF Program.
Your involvement in Regulatory Compliance will encompass a diverse range of tasks including, but not restricted to updating and putting into action compliance policies and procedures, conducting staff compliance training, overseeing and supervising monitoring activities, and more.
As a valued member of our collaborative and approachable Compliance team, you will collaborate with fellow Compliance experts to ensure the accuracy of compliance records and reports. Your role will also involve providing administrative assistance, conceptualizing joint initiatives, and fostering a culture centered around compliance across Pepperstone's global operations.
**Your key responsibilities include, but not limited to**
- Review and execute customer KYC procedures like OCDD and ECDD
- Manage and carry out investigations for reports on unusual activities
- Support the AML/CTF Compliance Officer in conducting risk assessments
- Collaborate with various client-facing teams to provide training and address their inquiries
- Contribute to the implementation of the enhanced AML transaction monitoring program and processes for managing alerts
- Serve as a primary point of contact to provide expertise and assistance to the AML Analysts
- Assist in preparing AML and client risk reports
- Participate in UAT and offer post-delivery assurance monitoring for the recent AML enhancement initiative
- Address and coordinate inquiries from commercial stakeholders to resolve compliance-related matters and client concerns
- Aid in the development and review of Compliance policies and procedures
- Support the internal and external dispute resolution process and draft responses to complaints
- Carry out control testing activities as defined in the Pepperstone Compliance Management framework
- Assist in assessing incidents, errors, and breaches, and maintain relevant registers
- Stay updated with new or revised legislation and regulations applicable to Pepperstone's licensing and operations
- Drive proactive enhancements to the business that reduce risk, elevate compliance standards, and still foster business growth
- Contribute to the design and delivery of compliance training
- Foster collaborative relationships with stakeholders to ensure effective understanding and management of compliance obligations
**About you**
- A minimum of 3 years experience in AML monitoring or compliance within the financial services sector
- Experience with fintech or similar online/non-face-to-face business models would be beneficial
- Thorough knowledge of Chilean or LATAM AML regulations
- Profound understanding of the entire AML and KYC process
- Familiarity with regulated environments, such as the Financial Market Commission
- Sound grasp of financial services regulatory compliance responsibilities, ideally in the realm of OTC derivatives
- Awareness or understanding of compliance management frameworks
- Strong aptitude for analysis and problem-solving
- Excellent communication and collaboration skills
- Clear and concise communication style, capable of providing well-structured, accurate guidance
- Proficient in writing documentation and policies
- Meticulous attention to detail
- Ability to thrive in a fast-paced, time-sensitive environment
- Capability to effectively collaborate with teams and stakeholders spanning different geographic locations
- Nice to have:_
- Familiarity with financial services and AML regulations across various jurisdictions
- Qualifications related to regulatory compliance or risk management
- ICA, ACAMS, or other relevant certifications would be a plus
**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
- 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 abou
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