Job Description
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.
As part of our regulated expansion, we are hiring a Compliance Officer (South East Asia) to embed practical, risk-based controls that keep our fast-moving trading business aligned with SCB expectations. In this role, you will act as the operational bridge between frontline teams, marketing, and regulators, ensuring compliant conduct, clear client communications, and governance standards that turn regulation into a competitive advantage for our OTC-derivatives offering.
Responsibilities
- Monitor client interactions through daily call reviews, strengthening conduct standards and ensuring alignment with SCB regulatory expectations.
- Escalate potential breaches or misrepresentations promptly, reducing regulatory risk and reinforcing a culture of accountability across frontline teams.
- Maintain robust documentation of monitoring outcomes to support audit readiness and transparent regulatory engagement.
- Enhance surveillance frameworks by identifying gaps and implementing improvements that lift overall oversight effectiveness.
- Review and approve all marketing and client-facing materials, safeguarding fair, clear, and non-misleading communications across channels.
- Advise marketing, product, and legal teams on compliance risks, enabling confident, compliant campaign execution.
- Preserve a complete audit trail of marketing assessments to ensure traceability and regulatory defensibility.
- Support regulatory compliance by coordinating timely SCB filings, periodic returns, and license-related submissions.
- Track regulatory developments and industry best practices, translating changes into actionable guidance for internal teams.
- Contribute to internal and external audits, strengthening Capital.com’s regulatory posture and operational transparency.
- Maintain and update compliance policies and procedures to reflect evolving SCB standards and business needs.
- Assess compliance risks by contributing to monitoring programs and firm-wide risk evaluations.
- Deliver targeted staff training on conduct, communications, and marketing governance to embed strong compliance culture across the organisation.
Requirements
- Industry Knowledge: 3–5 years in SCB (or FCA/ASIC/CySEC)–regulated compliance roles with strong understanding of conduct, communication, and marketing rules, plus familiarity with call-monitoring or QA tools.
- Problem-Solving: Ability to interpret regulatory requirements, communicate them clearly, and apply them practically in fast-moving trading environments.
- Collaboration & Influence: Experience partnering with cross-functional teams and guiding stakeholders with clear, confident compliance advice.
- Mindset & Style: Ownership-driven, adaptable, and resilient, with strong written and verbal communication skills and proficiency in Microsoft Office and compliance systems.
- Education: Bachelor’s degree in Law, Finance, Business, or a related discipline.
What Will You 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
• Annual Performance Bonus: Your hard work doesn’t go unnoticed! Celebrate your achievements with a well-deserved annual bonus tied to your performance.
• 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.
We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.
