ABOUT THE COMPANY
EXANTE is a wealthtech company that provides centralised trading solutions and B2B financial infrastructure that helps create value through technology.
Our proprietary trading platform enables direct market access to a wide range of financial instruments including stocks, ETFs, bonds, futures, options and more from a single multi-currency account.
With over 600 employees and a decade in the market, EXANTE’s presence extends across over 10 locations, including but not limited to the UK, Cyprus, Malta and Hong Kong.
We're growing 70% year-on-year and hiring globally day-by-day. Learn more about the EXANTE corporate culture and company benefits: https://careers.exante.eu/#about
THE ROLE
We're looking to recruit a Compliance Manager for a full time role, to join EXANTE’s international Counterparties Management (CPM) team. The ideal candidate will have 5 - 10 years of compliance, KYC, AML and client onboarding experience, gained at established banks, brokerage firms, wealth management or other financial institutions. Candidates with specific experience of complex onboardings, cross-border KYC requirements and negotiating trading or distribution agreements covering equities, fixed income, derivatives, funds, custody and clearing will have a distinct advantage. The CPM team is a critical function within the group and has significant responsibility for its continuity and growth. The objective of the role is to support the onboarding and ongoing management of the group’s relationships with banks, brokers, custodians, payment firms, exchanges and other financial institutions that are important for the overall infrastructure, liquidity management and product offering for customers.
Location: Ideal candidate will be based in Dubai, Riga, Limassol, St Julian's or London
Reporting to: Head of Counterparties (Business); Head of Compliance (Functional)
Responsibilities
- Onboard new partner entities according to internal processes and policies, in alignment with the CPM team’s priorities and KPIs;
- Help to document and improve the team’s written policies and procedures covering client onboardings. Strive to build best processes and frameworks around counterparties relationship management practices;
- Manage multiple projects in parallel, with a strong attention to detail and deadlines. Main workflows include, but are not limited to, managing the onboarding workflow by sharing tax, regulatory, constitutional documents and data to support counterparty account onboarding, KYC, credit, risk assessment, tax and legal review (viz-a-vis engagement with colleagues in other departments including Compliance, Legal, Risk, Training, Business Operations, Middle Office, Treasury, Finance and Sales);
- Assist the CPM team in daily commercial negotiations, counterparty reviews and business agreements;
- Ensure that the compliance procedures are followed in order for the Company to comply with local requirements;
- Develop and oversee control system to prevent or deal with violations of legal guidelines and internal policies;
- Revise procedures, reports and manuals periodically to identify hidden risks or non-conformity issues in compliance control;
- Prepare reports on a regular basis for senior management and external regulatory bodies as appropriate; ensure proper reporting of violations or potential violations to the regulatory bodies and senior management as appropriate and/or required;
- Taking ownership of all compliance-related matters for the CPM team and its stakeholders including C-Level.
Requirements
- University degree in Law, Banking, Finance, Economics or in a related field;
- In-depth knowledge of the industry's standards and regulations;
- Legal experience;
- Excellent knowledge of reporting procedures and record keeping;
- A business acumen partnered with a dedication to legality;
- Previous experience in the financial industry;
- Excellent communication skills in English, written & verbal;
- Skills Required: problem analysis and problem solving, decision-making, influencing, strong;
- Communication skills, ability to work in a fast-paced environment, negotiation skills, organizing and time management skills.
Benefits
- Excellent career growth opportunity
- A chance to work in a trendsetting international financial technologies company
- Competitive remuneration package
- Extra medical insurance and co-financed professional development program after the probation period
- Free lunch and snacks in the corporate offices
