Compliance Officer

Summary

Join a leading, globally expanding trading platform with award-winning products and a talented team. This Compliance Officer role requires regulatory monitoring and analysis, policy and procedure review, compliance monitoring, data analysis and reporting, risk assessment, and compliance support. You will provide guidance to various departments, handle complaints and inquiries, and conduct internal compliance audits. The ideal candidate possesses a Bachelor's degree in a relevant field, 3-5 years of compliance experience in financial services, and a strong understanding of global regulations. The company offers competitive salary, work-life harmony, annual bonuses, generous time off, employee referral program, comprehensive health and pension benefits, workation opportunities, and volunteer days.

Requirements

• Bachelor's degree in Law, Finance, Business Administration, or a related field
• Minimum of 3-5 years of experience in compliance, preferably within the financial services industry, with a focus on online trading or brokerage
• Strong understanding of the global regulatory landscape, including regulations related to anti-money laundering (AML), Know Your Customer (KYC), and market conduct
• Proven ability to develop and implement compliance policies and procedures
• Experience in conducting compliance monitoring, risk assessments, and regulatory reporting
• Excellent communication, interpersonal, and presentation skills
• Strong analytical and problem-solving skills
• Ability to work independently and as part of a team
• Fluency in English

Responsibilities

• Regulatory Monitoring & Analysis: Stay up to date with legal and regulatory changes, keeping abreast of industry and legal and regulatory developments to ensure that the organization is aware of emerging compliance requirements. Interpret new regulations and determine their impact on company operations
• Policy and Procedure Review: Assess existing company regulatory compliance and AML/CFT manuals, policies, and procedures to verify their alignment with current regulations and best practices. Work closely with management to recommend updates or improvements to maintain a robust compliance framework
• Compliance Monitoring Program: Conduct regular and thorough reviews of company operations, processes, and documentation for AML and regulatory compliance to ensure compliance with relevant laws, regulations, and industry standards. Identify areas of non-compliance and collaborate with relevant stakeholders to address and rectify issues, including, where required, additional training
• Data Analysis and Reporting: Collect and analyze data related to compliance activities, track trends, and produce insightful reports for senior management
• Present findings, recommendations, and key performance indicators to support informed decision-making
• Risk Assessment: Collaborate with cross-functional teams to identify potential compliance risks within different business units or processes
• Develop risk assessment strategies and work towards implementing effective risk mitigation plans
• Compliance Support and Approvals: Provide advice and guidance to employees of various departments ranging from Customer Support to Back Office and Marketing, including approvals for marketing material, website content, and campaigns
• Review all client communication to ensure this is in line with best practice and regulation
• Complaints Handling: Deal with client complaints effectively and efficiently
• Compliance Enquiries: Respond to compliance enquiries promptly and accurately
• Internal Compliance Audits: Plan and conduct internal compliance audits to assess compliance levels across various departments
• Prepare comprehensive audit reports, highlighting findings, and suggesting corrective actions

Preferred Qualifications

A Master's degree or relevant professional certifications (e.g., CAMS, ICA) are preferred

Benefits

• Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated
• Work-Life Harmony: Join a company that genuinely cares about you —because your life outside of work matters just as much as your time on the clock
• Annual Performance Bonus: Your hard work doesn’t go unnoticed! Celebrate your achievements with a well-deserved annual bonus tied to your performance
• Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry
• Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team
• Comprehensive Health & Pension Benefits: From medical insurance to pension plans, we’ve got your back. Plus, location-specific benefits and perks!
• Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
• Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community