Global Compliance Officer – Trading Platform (Hybrid)

Capital.com; United States; On-site; USD 90,000 - 130,000; Full time

Benefits offered by this job

Competitive Salary

Work-Life Harmony

Generous Time Off

Employee Referral Program

Health Pension Benefits

Workation: 30 remote days

Volunteer Days

Job summary

Capital.com is seeking a compliance professional to lead regulatory monitoring and governance efforts in a fast-growing trading platform. The role focuses on staying ahead of CySEC/ ESMA developments, drafting updates, and guiding decision-making on client classifications and risk mitigations.

The successful candidate will have a law/finance background with 2–3 years of compliance experience in financial services, excellent English communication, and the ability to prioritize time-sensitive

Qualifications

• 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.

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.

Skills

Regulatory compliance

Regulatory monitoring

Policy drafting

English communication

Organisational skills

Attention to detail

Education

Bachelor’s degree in Law, Finance, Business or related field

Job description

Capital.com is seeking a compliance professional to lead regulatory monitoring and governance efforts in a fast-growing trading platform. The role focuses on staying ahead of CySEC/ ESMA developments, drafting updates, and guiding decision-making on client classifications and risk mitigations.

The successful candidate will have a law/finance background with 2–3 years of compliance experience in financial services, excellent English communication, and the ability to prioritize time-sensitive