Compliance Officer, MLRo

About EXANTE

EXANTE is a wealth tech company that provides centralized trading solutions and B2B financial

infrastructure that helps create value through technology.

Our proprietary trading platform enables market access to 1M financial instruments from a single

multi-currency account, including stocks, ETFs, bonds, futures, and options.

We are a fast-growing global company with 600+ employees across 70+ locations, representing 60

nationalities and regulated in various jurisdictions.

As a Financial company, we know our investment priorities. We invest in our people.

Join us in creating a new standard for wealth management: https://exantecareers.com

About the Role

The Compliance Officer is responsible for monitoring and assessing the adequacy and effectiveness of the measures and procedures, designed to detect any risk of failure by the Company to comply with its obligations under the Law.

The role also supervises the actions taken to address any deficiencies.

The Compliance Officer will monitor, advise, and assist other Business Units ensuring compliance with the Company’s obligations under the Law.

Reporting Line - Head of Compliance

Worksite: Hybrid

Key Responsibilities

• Monitor transactions and records, counterparties agreements, promotional material, and advertisements

• Reviews the company’s website frequently to ensure compliance with the law;

• Reports to the BoD frequently on the adequacy and effectiveness of the measures and procedures employed;

• Liases with the regulatory authorities and reports on behalf of the company as required

• Ensures an appropriate level of knowledge throughout all business units relevant to the compliance area, Trains employees on regulatory requirements on an ongoing basis;

• Acts as advisor to all Business Units in operations relating to compliance;

• Keeps up-to-date with changes in the legislation and the issuance of new directives;

• Ensures that procedures pertaining to the company’s conflict of interest policy are followed, identifies and leads the resolution of conflicts of interest;

• Monitors the existence of Chinese Walls between the various departments;

• Is responsible to Investigate and manage client complaints;

• Is responsible for the correct application of the procedures regarding obligations for reporting to clients;

• Oversees the development and periodic review of the company’s product governance arrangements;
  

Requirements:

• CySEC advanced certificate

• Extensive experience in Compliance within the Brokerage industry

• Successful track record as Compliance Officer

• In-depth knowledge of relevant key regulations and industry guidance

• Solid team management experience

Personality / Mindset

• Integrity & loyalty

• Team player with advanced communication and collaboration skills

• A hands-on, can-do attitude - always looking for solutions and thinking out of the box

• Overachiever mentality

• Capability to work and succeed in the fast pace and ever-changing environment

We Offer*

• Competitive salary

• Corporate benefits (choose your preferred options)

• Truly inspiring culture, pleasant and informal work environment

• Ongoing education & training programs

• Opportunity to network and connect in the Corporate Events

• Global career opportunities

*Benefits/perks can vary depending on the nature of your employment with the company and the country

where you work

A group of disruptive technology experts created EXANTE. With an impressive track record in the industry and knowledge of the markets, our systems are built to democratize access to global financial instruments for professional traders and institutional investors