Compliance Officer

Capital Rx Inc.; United States; Hybride; USD 90 000 - 150 000; Plein temps

Avantages offerts par ce poste

Competitive salary

Work-life harmony

Generous time off

Employee referral program

Health and pension benefits

Workation remote days

Volunteer days

Résumé du poste

Capital Rx Inc. is seeking a Compliance Officer to oversee regulatory reviews and maintain governance across online trading activities.

The role focuses on monitoring CySEC, ESMA and EU changes, preparing regulator responses, and ensuring robust documentation and due diligence with outsourcing partners. The candidate will document decisions on client classifications, manage risk escalations, and support policy development while thriving in a hybrid work environment.

Qualifications

• Bachelor’s degree in Law, Finance, Business or related field.
• CySEC Advanced Certification or availability to obtain it during the probation period.
• 2–3 years of compliance experience in financial services, preferably online trading or brokerage.
• Experience with compliance monitoring, regulatory change or product governance.
• Strong written and verbal English communication.

Responsabilités

• Carry out reviews under the Annual Compliance Monitoring Programme and prepare reports for senior management and the Board.
• Monitor CySEC, ESMA and EU regulatory developments, assess their impact and follow up with the relevant teams.
• Prepare regulatory updates and support reports and responses to regulators.
• Conduct MiFID II target market assessments and ongoing product governance reviews.
• Review client requests for professional or experienced retail classification and document the rationale for each decision.
• Assess client vulnerability escalations, determine the appropriate action and document a timely human decision.
• Act as the primary contact person for compliance queries raised internally.
• Help draft and update compliance policies, procedures and the Internal Operations Manual.
• Conduct initial and periodic due diligence on outsourcing providers and other third parties.
• Maintain compliance registers and support internal audits, regulatory inspections and staff training.

Connaissances

Regulatory compliance

Compliance monitoring

Regulatory change management

Product governance

Written communication

Time management

English proficiency

Formation

Bachelor's degree (Law / Finance / Business)

CySEC Advanced Certification

Description du poste

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. 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.

Responsibilities

• Carry out reviews under the Annual Compliance Monitoring Programme and help prepare reports for senior management and the Board.
• Monitor CySEC, ESMA and EU regulatory developments, assess their impact and follow up with the relevant teams.
• Prepare regulatory updates and support reports and responses to regulators.
• Conduct MiFID II target market assessments and ongoing product governance reviews.
• Review client requests for professional or experienced retail classification and document the rationale for each decision.
• Assess client vulnerability escalations, determine the appropriate action and document a timely human decision.
• Act as the primary contact person for compliance queries raised internally.
• Help draft and update compliance policies, procedures and the Internal Operations Manual.
• Conduct initial and periodic due diligence on outsourcing providers and other third parties.
• Maintain compliance registers and support internal audits, regulatory inspections and staff training.

Requirements

• Bachelor’s degree in Law, Finance, Business or related field.
• CySEC Advanced Certification, or availability to obtain it during the probation period.
• Minimum of 2-3 years of experience in compliance, preferably within the financial services industry, with a focus on online trading or brokerage.
• Experience with compliance monitoring, regulatory change or product governance.
• Sound judgment and the ability to prioritise time-sensitive cases.
• Strong written communication and organisational skills.
• Excellent written and verbal English communication skills.

What you will 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
• 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.