Regional Head of Compliance

Introduction

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
An incredible opportunity has emerged for a seasoned Compliance leader to join our esteemed Global Compliance and Risk function. As the Regional Head of Compliance, you will step into a pivotal leadership role, guiding a team of exceptional regional compliance professionals. This position offers significant autonomy and the chance to collaborate closely with local Compliance Managers, ensuring our compliance arrangements are robust, adaptable, and effective in mitigating regulatory risk.

Reporting directly to the Chief Risk and Compliance Officer in Melbourne, you will engage with commercial stakeholders across our organization. Your goal will be to foster a responsive, pragmatic, and commercially astute approach that aligns seamlessly with our strategic objectives and risk appetite. We place great importance on performance, efficiency, and successful delivery, striving for consistent standards, best practices, and continuous enhancements in compliance across our regulated entities.

As the Regional Head of Compliance, you will also champion a culture of compliance throughout the organization. Your expertise will be invaluable in making decisions regarding regulatory and compliance matters specific to your region, upholding the integrity and reputation of our organization through your exceptional leadership and guidance.

If you are a forward-thinking professional with a deep understanding of compliance frameworks, regulations, and risk mitigation, we invite you to join our team and make a significant impact.

As our Regional Head of Compliance, your key responsibilities include, but are not limited to:

• Developing and executing a regional compliance strategy aligned with the organization's vision, purpose, values, and goals.
• Leading, managing, and developing the regional compliance function, setting consistent standards and providing business-oriented risk solutions.
• Driving performance, improvement, and efficiency in compliance processes using technology and data.
• Managing regulatory risk, ensuring compliance with local regulations and global requirements, and aligning with risk appetite.
• Identifying, assessing, and mitigating the impact of legislative and regulatory requirements, and assisting with their implementation.
• Guiding local compliance in the application of frameworks and acting as the escalation point for MLROs.
• Co-managing the global Transaction Monitoring Program and Financial Crime Framework.
• Overseeing and updating the global Compliance Risk Register and participating in risk register reviews.
• Leading, managing, and developing team members across multiple jurisdictions.
• Collaborating with the ERM team on business processes, controls, and GRC matters.
• Reviewing and refreshing global compliance policies in collaboration with the CRCO.
• Working on initiatives and projects with global compliance, leveraging best practices and standards.
• Preparing regional compliance reports and assisting with board reports.
  

About You

• Demonstrated a minimum of 10 years of regulatory compliance experience with an OTC derivatives issuer (CFD’s, leveraged FX) and AML/CTF experience in the financial services industry across multiple regions and over 2 years of managing a team.
• Proven experience working under the following licences AU (AFSL licence), Dubai (DFSA licence), Kenya (CMA licence) and Bahamas (SCB licence)
• Strong understanding of the financial services and AML/CTF regulatory environment and licensing regimes
• Strong understanding of compliance management principles and industry best practice
• Proven leadership and communications skills with a track record of success and achieving results while effectively advising the business on compliance matters
• Comfortable functioning in a rapidly changing environment where real time compliance advice and guidance is required
• Demonstrated strategic thinking and time management skills
• Well-developed interpersonal and influencing skills with demonstrated ability to build and maintain stakeholder relationships and collaborate with multiple teams across functions and geographies
• Regulatory knowledge or experience in multiple jurisdictions will be an advantage
• Current and appropriate working rights in Australia

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, in addition to hybrid working as standard
• Ongoing personal development & learning opportunities
• 15 weeks paid primary carers parental leave & 4 weeks paid secondary carers leave
• 3 paid volunteering days per year & Workplace Giving Program
• Frequent events and celebrations including a standard weekly social
• Beautifully renovated large office at Collins Square - 727 Collins Street, Melbourne
• Best in class end of trip facilities including bicycle parking, change rooms & showers
• A full stocked kitchen, onsite coffee machines with locally sourced coffee beans (this is Melbourne after all) and curated specialty teas

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 and www.linkedin.com/company/pepperstone/

We understand it’s important to do due diligence on a prospective employer, see what our team are 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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