The Role
Prepare regulatory filings, monitor compliance risks, assess regulatory changes, and support compliant launches of new products and initiatives. Conduct regulatory research, gap analyses, breach investigations, and remediation planning. Manage client complaints from intake through investigation and written resolution, maintain accurate records, and report complaint trends and compliance matters to senior management.
Summary Generated by Built In
HFM is an internationally acclaimed multi-asset broker, delivering cutting-edge trading tools, platforms, and conditions to traders worldwide. We are committed to innovation, transparency, and excellence in the financial markets.
As we continue to expand, we are seeking a driven and strategic Compliance Operations Officer to join our team.
Responsibilities:
- Prepare and submit regulatory filings, reports, and disclosures on time and accurately.
- Monitor compliance risk related to investment and ancillary services, and to the financial instruments the company trades and distributes.
- Track evolving regulatory requirements and assess their impact on the firm's operations and products.
- Draft regulatory specifications for new business initiatives and products.
- Conduct gap analyses and regulatory research, and design action plans to address any issues.
- Investigate compliance breaches or misconduct and write clear investigation reports with recommendations.
- Receive, log, and acknowledge client complaints promptly.
- Investigate complaints impartially, gathering relevant evidence and liaising with other departments as needed.
- Identify root causes and propose solutions.
- Prepare written responses to complainants explaining findings and outcomes.
- Maintain accurate complaint records and prepare periodic reports on complaint trends for senior management.
- Keep up to date with regulations on complaints handling and help improve internal policy.
- Investigate and report compliance breaches or misconduct, ensuring timely escalation to the Head of Compliance alongside actionable remediation recommendations.
Requirements
- BSc/BA in Legal, Finance, Business or relevant field.
- Minimum 2 years of industry experience in a multi-regulated investment firm.
- Strong ability to analyze complex processes, identify regulatory gaps, and design testing methodologies.
- Excellent verbal and written communication skills.
- Able to work in a fast-paced environment.
- Ability to multitask and work to strict deadlines.
Resumes must be submitted in English.
Applicants must be eligible or have legal authorization to work in the country where the position is based.
Applicants must be eligible or have legal authorization to work in the country where the position is based.
Benefits
- Hybrid Work Model (2 days working from home)
- Comprehensive Health plan starting from the first day of employment
- Pension plan
- 13th salary payment
- Additional Paid Annual Leave (up to 30 days, based on years of service)
- Up to 5 Carry over annual leave days from previous year to the next one
- Birthday Leave
- Udemy Business access
- Monthly Wolt Vouchers
- Monthly meals & treats at the office
- Participation in company's Group Discount Scheme
- Gym Membership
- Referral Bonus Program
- Summer Short Fridays (August)
Additional Support
- Visa Sponsorship and Relocation Assistance (If applicable)
Sounds like you? Let’s write the next chapter together!
All Applications will be handled with the strictest confidentiality.
Skills Required
- BSc or BA in Legal, Finance, Business, or a relevant field
- At least 2 years of industry experience in a multi-regulated investment firm
- Ability to analyze complex processes and identify regulatory gaps
- Ability to design compliance testing methodologies
- Excellent verbal and written communication skills
- Ability to work in a fast-paced environment
- Ability to multitask and meet strict deadlines
- Resume submitted in English
- Eligibility or legal authorization to work in the position's country
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The Company
What We Do
HFM is an internationally acclaimed, regulated multi-asset broker serving retail and institutional clients worldwide. The company provides online trading services and platforms across forex, contracts for difference (CFDs), futures, commodities, stocks, and indices. Its offering emphasizes competitive trading conditions, innovative tools, partner support, and access to multiple global markets through its financial technology infrastructure, helping traders participate in global markets.
