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Compliance Manager - FX & CFDs Industry
SummitNext Technologies Sdn BhdKuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia30+ days ago
Job descriptionDesign 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. 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. Continuously assess compliance risks and maintain updated risk treatment plans. Ensure timely completion of license renewals, regulatory filings, and reporting obligations across jurisdictions. 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. 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. 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.
Overview :
As the Compliance Manager you'll 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, you'll 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
Training & Communication
Risk & Regulatory Readiness
Client Onboarding & Transaction Oversight
Product & Marketing Compliance
Who are we looking for :
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Compliance Manager • Kuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia
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