Compliance Officer (Greater China)

MY Sales · Asia, Asia
Department MY Sales
Employment Type Full-Time
Minimum Experience Mid-level

The Compliance Team is an essential component of Exness’s second line of defense risk framework. We advise and challenge the Business Teams with respect to compliance with regulatory requirements and Exness policies, and we monitor and test Exness Teams adherence to those requirements and policies to provide assurance to senior management and shareholders. 

This role will be located in KL to work closely with our existing Compliance teams in the Group and other departments in Exness to support the compliance plan primarily in the Asia region. 

Primary Responsibilities

  • Reviews and approves marketing materials/advertisements to ensure compliance for our Greater China region.
  • Provide consultation, guidance, training and testing regarding regulatory requirement pertaining to the Greater China sales team.
  • Conduct regulatory risk assessments internally and stress-test for adequacy. 
  • Monitor and communicate regulatory amendments and the associated impact to policies, programs, and business unit processes and procedures
  • Completes special compliance projects as assigned and needed.
  • Communicate and escalate issues, as appropriate, and provide periodic updates to Head of Compliance and Senior Management
  • Manage the implementation and ongoing maintenance of compliance policies and programs
  • Prepare and provide compliance training materials
  • Maintains current knowledge of laws and regulations applicable to Exness

The full requirements are:  

  • Minimum three years compliance experience in the financial services sector (or similar)
  • A compulsory requirement on the ability to communicate in Mandarin (spoken & written)
  • Holder of a University degree and above
  • Strong project management skills
  • A commercial mindset
  • Excellent written and verbal communication skills in English

Wanted but not necessary is:

  • Experience from CFD/FX sector
  • Experience from work related to the banking, payment or fund management industry
  • Experience from working in businesses with activities in China, South-East Asia, CIS, MENA, Africa and Latin America

Your application will be reviewed further and you will receive an update in due course if you are shortlisted. Due to high volume of applicants, we are able to contact only shortlisted candidates at this point of time.

Thank You

Your application was submitted successfully.

  • Location
    Asia, Asia
  • Department
    MY Sales
  • Employment Type
  • Minimum Experience