Trading Platform Compliance Officer – Regulatory Strategist

Capital Rx Inc.; United States; Hybrid; USD 90,000 - 150,000; Full time

Benefits offered by this job

Competitive salary

Work-life harmony

Generous time off

Employee referral program

Health and pension benefits

Workation remote days

Volunteer days

Job summary

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.

Responsibilities

• 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.

Skills

Regulatory compliance

Compliance monitoring

Regulatory change management

Product governance

Written communication

Time management

English proficiency

Education

Bachelor's degree (Law / Finance / Business)

CySEC Advanced Certification

Job description

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.