1. Administrative responsibility of maintaining registers, compliance calendars, declarations, and attestations.
2. Collaborate with various global client-facing teams to deliver training and be a point of contact for queries.
3. Assist Compliance Managers with queries received by commercial stakeholders.
4. Conduct control testing activities outlined in the Pepperstone Compliance Management Framework / Compliance Monitoring Program.
5. Assist with the development and review of Compliance policies and procedures.
6. Review and undertake customer KYC processes such as OCDD and ECDD.
7. Assist with the internal and external dispute resolution process and drafting complaint responses.
8. Work collaboratively with stakeholders to ensure compliance obligations are understood and managed.