Senior Compliance Generalist

Trade Nation Australia Pty Ltd; Kuala Lumpur; On-site; MYR 70,000 - 100,000; Full time

Job summary

Trade Nation Australia Pty Ltd is seeking a hands-on Compliance Generalist to provide second-line coverage across the group in a regulated financial services environment. You will own the end-to-end complaints process, monitor regulatory changes, and support the Compliance Monitoring Programme for multiple entities.

The role requires the ability to learn unfamiliar regulatory frameworks, work with limited supervision, and escalate when needed.

Qualifications

• Typically 3 to 5 years in a compliance role within a regulated financial services firm.
• Demonstrable experience beyond an analyst remit: owning processes and engaging with business.
• Practical working knowledge of at least one major regulatory framework.
• Hands on complaints handling experience including investigation and final responses.
• Experience of compliance monitoring or testing and writing findings that drive action.
• Strong written English with clear communication to non-specialist audiences.
• Well organised and able to manage multiple deadlines across entities/time zones.
• Discreet, resilient and confident when dealing with senior stakeholders.

Responsibilities

• Provide planned and ad hoc cover for entity Compliance Officers across the group during absences.
• Maintain knowledge of regulatory obligations for each entity and provide cover with up-to-date handover notes.
• Act as day-to-day compliance point of contact during cover periods for marketing, onboarding, client communications, product and conduct matters.
• Review and sign off routine items within delegated authority and escalate outside authority.
• Support regulatory submissions and maintain the regulatory reporting calendar.
• Produce a handover on completion of each cover period with decisions and outstanding items.
• Own the group complaints process end-to-end: acknowledgement, investigation, root cause analysis, final response and closure.
• Ensure complaints are handled per jurisdictional rules (e.g., DISP and equivalents).
• Maintain the complaints register and audit-ready records; manage external dispute resolution referrals.
• Carry out root cause analysis, identify trends, and translate into practical recommendations.
• Prepare complaints management information for Compliance Committee and entity boards.
• Monitor regulatory developments and horizon scan across jurisdictions.
• Maintain the regulatory change log and coordinate updates to policies and procedures.
• Support CMP design, maintenance and annual refresh across entities.
• Carry out monitoring reviews and thematic testing; document results to audit standards.
• Write findings and track remedial actions to closure.
• Report CMP progress and emerging risks to the Compliance Team and committees.
• Support audits, regulatory visits and information requests.

Skills

Regulatory knowledge

Complaint handling

Regulatory reporting

Written English

Time management

Education

ICA Diploma

CISI Certification

Job description

This is ahandson, group wide compliance role for someone who has already built solid foundations in a regulated financial services firm and is ready to broaden their remit beyond a singlejurisdiction. As a Compliance Generalist you will act as a flexible second line resource across the group: providing cover for jurisdictional Compliance Officers during periods of leaveorabsence, owning theend to endcomplaints process, tracking and interpreting regulatory change, and supporting delivery of the Compliance Monitoring Programme (CMP) for each entity.

The role sits above Compliance Analyst level. We are looking for someone who can pick up an unfamiliar regulatory framework, work out what matters, andoperatewith limited supervision, while knowing when to escalat e.

Our commitments to each other

We have each other's backs There when we need each other the most.

We challenge each other Be more creative, more curious, more bold

We thrive together Taking our work to the next level

We form strong bonds Through team building and social events

We don’t judge Instead, we teach and are open to learning

We step up Taking ownership and supporting each other to do the same.

Key Responsibilities

• Provide planned and ad hoc cover for entity Compliance Officers across the group during annual leave,sicknessand other absences, keeping business as usual compliance activity running without gaps.

• Maintain a working knowledge of the regulatory obligations applicable to each entity so that cover can be provided at short notice, supported byup to datehandover notes and desk procedures.

• Act as theday to daycompliance point of contact for the business during cover periods, answering queries on marketing, onboarding, client communications,productand conduct matters.

• Review and sign off routine items within delegated authority, including [marketing and promotional material, client facing documentation, escalated onboarding cases], and elevate any outside that authority to the Central Compliance Manager.

• Support regulatory submissions and returns falling due during coverperiods, andmaintain the regulatory reporting calendar so nothing is missed.

• Produce a clear handover on completion of each cover period, setting out decisions taken, items outstanding and any issuesidentified.

Complaints handling

• Own the group complaints process end toend:acknowledgement, investigation, root cause analysis, finalresponseand closure, within the timescales set by each regulator.

• Ensure complaints are handled consistently with the applicable rules in eachjurisdiction, for example DISP under the FCA Handbook and the equivalent requirements inPortugal,Australia, South Africa, theBahamasand Seychelles.

• Maintainthe complaints register and supporting records, and ensure they are complete,accurateand audit ready.

• Manage referrals to and correspondence with external dispute resolution bodies, including the Financial Ombudsman Service and equivalent schemes, and prepare the firm's case files.

• Carry out root cause analysis,identifytrends and recurring themes, and translate these into practical recommendations for the business.

• Prepare complaints management information for the Compliance Committeeandentity boards.

Regulatory change and horizon scanning

• Monitor regulatory developments, consultations, policy statements,guidanceand enforcement themes across alljurisdictionsin which the groupoperates.

• Maintain the regulatory change log, assess the impact of each development on the relevant entity, and assign owners,actionsand deadlines.

• Summarise changes in plain English for senior management and fornon-compliancecolleagues, and present updates at the relevant governance forums.

• Support implementation of regulatory change projects, including updates to policies, procedures, risk assessments, clientdocumentationand training material.

• Keep the group policy suite current, coordinating the annual review cycle and version control.

Compliance Monitoring Programmes (CMPs)

• Assistin the design,maintenanceand annual refresh of therisk basedCMP for each entity, ensuring coverage is proportionate to the risks and obligations of thatjurisdiction.

• Carry out monitoring reviews and thematic testing to the agreed schedule, gathering evidence, testing samples and documenting results to a standard that will withstand regulatory and audit scrutiny.

• Write up findings, agree remedial actions with the business, and track those actions through to closure.

• Report on CMP progress, overdue actions and emerging risks to theCompliance Teamand relevant committees.

• Support audits, regulatory visits, information requests andthird partydue diligence questionnaires.

Wider compliance support

• Providesecond line advice and challenge to first line teams on conduct, treating customers fairly and consumer duty style obligations, and on financial promotions.

• Support financial crime activity whererequired, including AML and CTF, sanctions, PEP screening, Market Abuse Surveillance, TransactionMonitoringand escalation to the MLRO.

• Assistwith breach and incident logging,investigationand regulatory notification.

• Deliver or support compliance training and awareness across the group.

• Contribute to compliance input on new products, markets,jurisdictionsand licence applications.

Requirements

• Typically [3 to 5] years in a compliance role within a regulated financial services firm, ideally an online broker, CFD or investmentfirmor payments business.

• Demonstrable experience beyond an analyst remit: owning processes, making judgementcallsand dealing directly with the business rather than only executing checklists.

• Practical working knowledge of at least one major regulatory framework, with the FCA Handbook preferred, andclear evidenceof the ability to learn others quickly.

• Hands on complaints handling experience, including investigation, drafting final responses and root cause analysis.

• Experience of compliance monitoring or testing, and of writing findings that lead to action.

• Strong written English, with the ability to explain regulatory requirements to anon-specialistaudience.

• Well organised and comfortable juggling competing deadlines across multiple entities and time zones.

• Discreet,resilientand confident in holding a position with senior stakeholders when needed.

Desirable

• Exposure to more than onejurisdiction, particularlyPortugal/Europe (CMVM/ESMA),Australia (ASIC), South Africa (FSCA), the Bahamas (SCB)or Seychelles (FSA).

• A relevant qualification, for example the ICA Diploma in Governance, Risk and Compliance, CISI Investment Operations Certificate, or equivalent.

• Understanding of leveraged products, client money and client asset rules, and retail client protections such as leverage limits and negative balance protection.

• Financial crime,AMLor sanctions experience.