Senior Compliance Officer

Job Title: Senior Compliance Officer

About Company:

The company is a liquidity and technology provider of solutions for the crypto and foreign exchange (FX) industry. The company specializes in the sphere of B2B services and products, catering to a wide range of clients, including large licensed brokers, crypto exchanges, crypto brokers, forex brokers, hedge and crypto funds, and professional managers.

Overview:

We are seeking an experienced Compliance Officer to oversee regulatory compliance for our Investment Dealer License. The successful candidate will ensure full compliance with СySec(for Cyprus) regulations, AML/CFT requirements, and global financial standards while supporting the firm's operational integrity.

Key Responsibilities:

- Regulatory Compliance & FSC Engagement:

• Ensure full compliance with СySec(for Cyprus) regulations, including the Securities Act, Investment Dealer Guidelines, and AML/CFT Act.
• Overview and preparation of managing regulatory reporting, licensing obligations, and compliance audits.
• Monitor regulatory developments affecting investment dealers, implementing necessary policy and procedural updates.
• Maintain and enhance internal policies, risk frameworks, and compliance manuals in line with СySec(for Cyprus), FIAMLA, and global best practices.
• Ensure compliance with capital adequacy requirements, client fund segregation rules, and reporting obligations under the Investment Dealer framework.

- AML/CFT Compliance & Risk Management:

• Oversee KYC/KYB processes for retail and institutional clients, ensuring compliance with AML/CFT laws.
• Implement transaction monitoring systems to detect potential market abuse, money laundering, and suspicious trading activities.
• Conduct enhanced due diligence (EDD) for high-risk clients, including Politically Exposed Persons (PEPs) and cross-border entities.
• Prepare and submit Suspicious Transaction Reports (STRs) and Suspicious Activity Reports (SARs) to the relevant authorities.
• Ensure adherence to sanctions screening, and FSC guidelines on financial crime prevention.

- Internal Compliance & Governance:

• Develop and maintain compliance policies, internal procedures, and operational controls for brokerage and investment services.
• Conduct internal audits and risk assessments to identify compliance gaps and mitigate regulatory risks.
• Train employees on AML/CFT compliance, СySec(for Cyprus) guidelines, and best practices in investment dealer operations.
• Ensure all marketing, client agreements, and financial promotions comply with FSC and anti-misleading advertising rules.

- Trade & Market Conduct Compliance:

• Monitor trading activities, order execution, and client fund handling to ensure compliance with СySec(for Cyprus) investment dealer regulations.
• Ensure best execution policies and market abuse prevention measures are in place.
• Assist in the review and approval of new financial instruments, trading products, and investment strategies.

Qualifications & Experience:

• Education: Bachelor's degree in Law, Finance, Business Administration, or a related field. Compliance certifications such as CAMS, ICA, CRCM, or equivalent are preferred.
• Experience: Minimum 5 years in compliance within an investment dealer, brokerage, or financial institution regulated by СySec(for Cyprus) including KYB and KYC processing and analyzing.
• Regulatory Knowledge: Strong understanding of СySec(for Cyprus) regulations, Investment Dealer License requirements, and AML/CFT laws.
• Analytical & Communication Skills: Ability to analyze complex regulations, assess compliance risks, and communicate regulatory requirements effectively.
• Attention to Detail: Strong skills in regulatory reporting, compliance risk management, and compliance documentation.
• Self-initiative, independent, and forward-thinking.

Key Competencies:

• Regulatory Awareness: Strong knowledge of СySec(for Cyprus) regulations, FATF guidelines, and AML/CFT frameworks.
• Decision-Making: Ability to assess and mitigate compliance risks in trading and investment operations.
• Collaboration: Ability to work with trading, risk, legal, and operational teams to ensure regulatory compliance.
• Strategic Thinking: Ability to develop and implement compliance strategies aligned with evolving global regulations.
• Decision-Making: Capable of assessing high-risk applying risk based approach and making informed compliance decisions.
• Tech-Savvy Approach: Familiarity with KYB/KYC software (Sum and Substance/Lexis Nexis/ComplyAdvantage etc), trading platforms (cTrader, MT4/5) etc.
• Team Collaboration: Ability to work cross-functionally with legal, tech, risk, and finance teams in a fast-paced environment.

Why Join Us?

This role offers an exciting opportunity to work in a dynamic investment brokerage environment, ensuring full compliance with regulations while supporting the company's growth and integrity.

Benefits:

• Competitive salary based on knowledge and experience.
• 24 days of annual leave (as per group policy).
• Flexible working options, including remote and hybrid work arrangements.
• Support for continuing education, blockchain certifications, and regulatory training (after one year with the company).
• Performance-based annual bonuses tied to compliance KPIs.