Senior Compliance Generalist (Global Regs & Complaints)

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

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.