Compliance Operations Officer

Summary

Join a leading trading platform expanding globally, offering top-rated products and seeking talented individuals to join its growing team. The Compliance Operations Officer role is a hybrid position bridging Compliance and Operations, ensuring alignment between objectives. This role requires close collaboration with various teams to maintain regulatory compliance across multiple jurisdictions. Responsibilities include designing policies, investigating issues, analyzing data, and advising senior management. The ideal candidate will have at least 3 years of experience in a regulated industry and a strong understanding of regulatory frameworks. In return, the company offers competitive salary, work-life balance, annual bonuses, generous time off, employee referral program, comprehensive health and pension benefits, remote work options, volunteer days, and career growth opportunities.

Requirements

• At least 3 years of experience in a Compliance, Operations, or a hybrid role within a regulated industry
• Strong understanding of industry-specific and international regulatory frameworks and operational best practices
• Proficiency with workflow management tools such as Jira or similar platforms
• Solid skills in Excel and/or Google Sheets for data analysis and reporting

Responsibilities

• Execute and/or guide operational processes ensuring they are carried out with a regulatory lens
• Maintain an up-to-date understanding of relevant aspects of prevailing business practices and relevant regulations across the jurisdictions in which the Group operates
• Ensure any issues arising are satisfactorily identified, investigated, addressed and resolved as and when required
• Design Policies and Procedures and improve existing frameworks to adapt with current and/or emerging business and regulatory needs
• Collaborate with the Compliance and Operations teams to translate regulatory requirements into practical operational procedures
• Monitor and assess the effectiveness of the Group’s existing Policies and Procedures
• Analyse data and produce Management Information and reports as required to ensure sufficient level of oversight by the relevant stakeholders
• Engage with internal and external auditors with confidence, where required
• Act as an adviser to Senior Management and other members of the Group on general compliance and operational issues as required
• Work with Compliance and Risk Management to investigate and resolve operational compliance issues
• Establish and oversee incident reporting mechanisms for regulatory breaches
• Identify gaps in operational workflows that may pose compliance risks and recommend improvements
• Support and initiate automation and technology solutions to streamline and improve the Group’s regulatory operations
• Work closely with other functions of the business such as Product, IT, Back Office or Customer Support to ensure general efficiencies and regulatory adherence

Preferred Qualifications

Experience in the CFD/Spread Bet industry is a plus

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. #LI-Hybrid
• 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