The Role
Monitor regulatory developments, assess compliance impacts, review policies, conduct AML and regulatory monitoring, investigate complaints, analyze risks, support product governance, coordinate audits, advise departments, deliver training, and improve compliance processes. The role also evaluates reportable incidents for CySEC, supports due diligence and tax authority correspondence, and works closely with legal and senior management.
Summary Generated by Built In
We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.
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 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.
- Complaints Handling: Investigate and resolve client complaints, including Financial Ombudsman cases, effectively and efficiently.
- Compliance Enquiries: Respond to compliance enquiries promptly and accurately.
- 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.
- Regulatory Impact Analysis: Determine whether a reported incident is a breach, an incident or no action, determine reportability to CySEC, and record the reasoning.
- Support Product Governance: Contribute to the product approval process, target market identification and product description forms, and keep Key Information Documents and disclosures up to date.
- Due Diligence: Provide the required information and documentation to key service providers conducting due diligence on the Company.
- Compliance Support and Approvals: Provide advice and guidance to employees of various departments ranging from Customer Support to Back Office and Marketing. Review client communication to ensure this is in line with best practice and regulation.
- External Support: Coordinate and assist, when requested, with authorities and/or external auditors during regulatory and compliance audits. Prepare requested documentation, facilitate access to necessary information, and address inquiries as needed. Support CRS and foreign tax authority correspondence.
- Training and Awareness: Develop and deliver compliance training programs for employees to enhance their understanding of regulations and ethical standards. Foster a culture of compliance awareness throughout the organization.
- Continuous Improvement: Drive ongoing enhancements to the compliance monitoring process by identifying areas for optimization and implementing innovative solutions to streamline procedures.
- Task Management & Proportionality: Balance strategic oversight with operational involvement, managing a diverse set of tasks. Apply complex regulatory obligations in a risk-based, proportionate manner to support commercial activity responsibly.
- Legal: Maintain a close collaboration with legal.
Requirements:
- Bachelor’s degree in Law, Finance, Business or related field; professional certifications (e.g., CAMS, ICA) highly desirable.
- Excellent English communication skills verbally and written.
- CySEC Advanced Certification, or availability to obtain it during the probation period.
- Minimum of 5-7 years of experience in compliance, preferably within the financial services industry, with a focus on online trading or brokerage.
- Proven ability to interpret and implement financial regulation and AML/CFT frameworks.
- Comfortable operating autonomously and managing multiple workstreams.
- Skilled at balancing regulatory rigor with business practicality.
- Excellent written and verbal communication; able to engage confidently with senior management and regulators.
What you will get in return:
• 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
• 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.
Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.
Skills Required
- Bachelor’s degree in Law, Finance, Business, or a related field
- Professional certification such as CAMS or ICA
- Excellent written and verbal English communication skills
- CySEC Advanced Certification or willingness to obtain it during the probation period
- Five to seven years of compliance experience, preferably in financial services, online trading, or brokerage
- Ability to interpret and implement financial regulations and AML/CFT frameworks
- Ability to work autonomously and manage multiple workstreams
- Ability to balance regulatory rigor with business practicality
- Ability to engage confidently with senior management and regulators
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The Company
What We Do
Capital provides software that enables founders to raise, hold, spend, and send funds all in one place. Capital has evolved its flagship fundraising tool (formerly known as Party Round) to provide founders with banking solutions that streamline their startups.
