Compliance Officer

Company & Culture

EXANTE is a pioneering wealth tech company that delivers cutting-edge centralized trading solutions and robust B2B financial infrastructure, driving value through innovative technology. Our proprietary trading platform provides seamless access to a diverse range of financial instruments, including stocks, ETFs, bonds, futures, and options, all within a single, multi-currency account.

As a rapidly expanding global firm with over 700 talented employees from 70+ nationalities across 70 locations, we are a frontrunner in the financial sector. Our investment priorities are clear: We prioritize investing in our most valuable asset—our people. Join us in shaping the future of finance.

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.

Through our robust, cutting-edge trading platforms, you can offer clients access to comprehensive, global financial instruments and investment possibilities while keeping their data safe and private.

EXANTE  is a global prime broker backed by proprietary technology and dedicated service. All regulated group companies and fully controlled affiliates and subsidiaries are committed to compliance with data protection laws, including the GDPR. We process personal data in line with the GDPR principles of fairness, purpose limitation, transparency, data minimisation, storage limitation and deletion, accuracy, confidentiality and integrity, and accountability. We rely on legitimate interests to assess and manage your application, after determining that our interests are not overridden by your rights and interests. You have the rights of access, rectification, data portability, erasure, restriction of processing, and objection to processing. To exercise your rights or contact our Data Protection Officer, please see our GDPR policy at https://exante.eu/gdpr/.

We retain recruitment data only for as long as necessary for the purposes described above, after which it will be securely deleted unless we are required to keep it longer to comply with law or you consent to a longer retention.

Where personal data is transferred outside the EEA, it will be protected to a standard at least equivalent to that sought by the GDPR. Personal data is safeguarded by technical and organisational measures that are reviewed and updated regularly. This website is not intended for individuals under 18 and we do not knowingly collect data relating to children .