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Compliance Manager - FX & CFDs Industry

Compliance Manager - FX & CFDs Industry

SummitNext Technologies Sdn BhdKuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia
30+ hari lalu
Penerangan pekerjaan

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

  • 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.
    • Buat amaran kerja untuk carian ini

    Compliance Manager • Kuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia

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