Compliance Associate

Job Title

Compliance Associate

Job Description

This is a commercially focused, forward-looking Compliance role, in which you will be accountable, responsible and empowered to drive sustainable revenue at IG by providing the business with robust compliance assurance and advisory services.

So, who are we?

Hello, we’re IG Group. No, not Instagram – though we're a pretty big deal ourselves.

We’re a global, FTSE 250-listed company made up of a collection of progressive fintech brands in the world of online trading and investing. The best part? We’ve snapped up many awards for our top-class platforms, forward-thinking products, and incredible employee experiences.

We believe in financial freedom. And our purpose is to help ambitious people achieve it. Around 400,000 people use our groundbreaking technology and forward-thinking platforms to trade the financial products they know and love.

Did we mention we have offices in 18 countries? Yes, when you join IG Group, you'll have the chance to work across multiple brands, with people all over the world. Join us for an exciting future and let’s innovate together!

Your role in the Team

Compliance has never been so important or close to the commercial success of IG. IG is rightly proud of its Compliance management. We have strong foundations - talent, processes, culture, understanding and influence. As a highly regulated financial services organisation, IG is subjected to significant and complex regulatory obligations which we aim to meet, in full, and at all times. You will be an integral part of the Australian Compliance team, supporting regulatory compliance across the business.

What you’ll do

Compliance advisory: you will provide regulatory and conduct advice to the business, helping to ensure that commercial objectives day to day business activities are carried out in a compliant manner.

Compliance operations: there are several operational processes either run by Compliance or where Compliance plays a direct role in the approval process for core business activities, including complaint escalations, new client account onboarding escalations, review of marketing material, review and submission of suspicious transactions to the regulator, review and refreshing of Compliance policies, assessment of operational risk events and operating the regulatory training program.

Compliance Assurance: you will monitor the first line's activities to provide senior management comfort on the effectiveness of the regulatory and conduct controls in accordance with the Compliance Monitoring Program, including: interactions with clients; financial promotions; handling of client assets; application forms and disclosure documents.

Regulatory change: you will assist with the implementation of processes and policies to comply with regulatory change.

Identifying the Core Responsibilities & Deliverables of the position and that identify what the candidate will be charged with delivering. This helps applicants identify the "mission" of their role and visualize what they will be spending most of their time doing.

Who we’re looking for?

You’re curious about things like the client experience, the rapid developments in tech, and the complex world of fintech regulation. You’re also a confident, creative thinker with a knack for innovating. We know that you know every problem has a solution. Here, you can try new ideas, and lead the way in creating inspiring experiences for our clients and everyone around you.

We don’t fit the corporate stereotype. If you want to work for a traditional, suit-and-tie corporate that just gives you a pay cheque at the end of the month, we might not be for you. But, if you have that IG Group energy and you can stand behind what we believe in, let’s raise the bar together.

What you’ll need for this role

Problem-solving abilities - capability to identify issues, investigate them and develop effective solutions to address and prevent future issues

Attention to detail: be meticulous in reviewing documents, records, and processes to ensure accuracy and adherence to regulations.

Ethical judgement - a high level of integrity and ethical standards

Analytical skills - the ability to analyse complex issues, and to assess risk and develop strategies for mitigating those risks

Excellent communication skills – the ability to communicate effectively with both technical and non-technical colleagues and stakeholders

Self-motivation and organization – the ability to manage your own time and task list effectively

Learning agility: willingness and capability to quickly learn new regulations, policies, and compliance procedures

Basic regulatory knowledge - a basic understanding of the financial services regulatory framework in Australia

Interest in financial markets - An interest in trading, investing or financial markets

How you’ll grow

When you join IG Group, we want you to have more than a job – we want you to have a career. And you can. If you spot an opportunity, we want you to chase it. Stretch yourself, challenge your self-beliefs and go for the things you dream of. With internal and external learning opportunities, and the tools to help you skyrocket to success, we’ll support you all the way.

And these opportunities truly are endless because we have some bold targets. We plan to expand our global presence, increase revenue gr...