Compliance Manager - FX & CFDs Industry
Compliance Manager - FX & CFDs Industry
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Salary Not Disclosed
1 Vacancy
Job Description
Overview:
As the Compliance Manager youll lead our global brokerage expansion ensuring regulatory integrity and operational excellence. This hands-on role involves independently designing and executing robust compliance frameworks policies and processes. Partnering with leadership and cross-functional teams youll ensure global regulatory adherence proactively identifying and mitigating risks. Your expertise will shape governance guide market entry and ensure responsible ethical scaling making you a trusted voice in a critical business area.
What will you do:
Compliance Strategy & Oversight
- Develop and execute a scalable compliance strategy aligned with our brokerage growth and global expansion.
- Act as the primary point of contact for compliance matters across the organization ensuring alignment with relevant regulatory standards.
- Independently drive initiatives that strengthen our governance and compliance posture.
Compliance Monitoring & Policy Governance
- Design and maintain a Compliance Monitoring Plan to ensure adherence to internal policies and external regulatory requirements.
- Draft update and manage compliance policies documentation systems and prepare required reports for internal and regulatory purposes.
- Conduct audits assessments and internal reviews to identify potential compliance gaps and implement corrective actions.
Training & Communication
- Develop and deliver compliance training sessions and create educational materials to promote awareness across teams.
- Translate complex legal and regulatory requirements into clear actionable guidance for operational marketing and product functions.
- Communicate compliance expectations and updates effectively across departments to support an informed and compliant culture.
Risk & Regulatory Readiness
- Continuously assess compliance risks and maintain updated risk treatment plans.
- Ensure timely completion of license renewals regulatory filings and reporting obligations across jurisdictions.
Client Onboarding & Transaction Oversight
- Execute client due diligence KYC and AML processes to ensure compliance with internal policies and applicable laws.
- Support the development and refinement of transaction monitoring systems to identify and address suspicious activity.
Product & Marketing Compliance
- Review product features marketing content and affiliate materials to ensure compliance with licensing conditions and regulations.
- Ensure fair treatment of customers and ethical standards in all external communications and campaigns.
Who are we looking for:
- 5 years of compliance experience specifically within the FX & CFDs brokerage industry with a strong understanding of operational compliance practices.
- Proven familiarity with regulatory frameworks under FSA ASIC and CySEC is essential.
- Excellent communication and documentation abilities including policy writing report preparation and compliance training delivery.
- Proven ability to manage and monitor compliance frameworks risk controls and internal policies effectively across multiple departments.
- Critical thinking and a solutions-first mindset.
- A passion for staying ahead of the curve in regulatory trends.
- Excellent judgment and business sense knowing when to be firm and when to be flexible.
Employment Type
Full Time
