Compliance Officer - South East Asia

Responsibilities

• Monitor client interactions through daily call reviews, strengthening conduct standards and ensuring alignment with SCB regulatory expectations.
• Escalate potential breaches or misrepresentations promptly, reducing regulatory risk and reinforcing a culture of accountability across frontline teams.
• Maintain robust documentation of monitoring outcomes to support audit readiness and transparent regulatory engagement.
• Enhance surveillance frameworks by identifying gaps and implementing improvements that lift overall oversight effectiveness.
• Review and approve all marketing and client-facing materials, safeguarding fair, clear, and non-misleading communications across channels.
• Advise marketing, product, and legal teams on compliance risks, enabling confident, compliant campaign execution.
• Preserve a complete audit trail of marketing assessments to ensure traceability and regulatory defensibility.
• Support regulatory compliance by coordinating timely SCB filings, periodic returns, and license-related submissions.
• Track regulatory developments and industry best practices, translating changes into actionable guidance for internal teams.
• Contribute to internal and external audits, strengthening Capital.com’s regulatory posture and operational transparency.
• Maintain and update compliance policies and procedures to reflect evolving SCB standards and business needs.
• Assess compliance risks by contributing to monitoring programs and firm-wide risk evaluations.
• Deliver targeted staff training on conduct, communications, and marketing governance to embed strong compliance culture across the organisation.

Requirements

• Industry Knowledge: 3–5 years in SCB (or FCA/ASIC/CySEC)–regulated compliance roles with strong understanding of conduct, communication, and marketing rules, plus familiarity with call-monitoring or QA tools.
• Problem-Solving: Ability to interpret regulatory requirements, communicate them clearly, and apply them practically in fast-moving trading environments.
• Collaboration & Influence: Experience partnering with cross-functional teams and guiding stakeholders with clear, confident compliance advice.
• Mindset & Style: Ownership-driven, adaptable, and resilient, with strong written and verbal communication skills and proficiency in Microsoft Office and compliance systems.
• Education: Bachelor’s degree in Law, Finance, Business, or a related discipline.