ЕвропаOEML - Senior Compliance Analyst
4 нед. назад
ЕвропаБлижний Восток и АфрикаSenior
Senior Compliance Analyst role at focused on regulatory compliance and risk management in the crypto exchange sector.
О компании
- At OKX, we believe crypto will help reshape the future and contribute to greater individual freedom.
- OKX is a leading crypto exchange and the developer of OKX Wallet, giving millions of customers access to crypto trading and decentralised applications. OKX is also trusted by institutions seeking secure access to crypto markets and is supported by its Proof of Reserves programme.
- Across our global offices, we are united by three core principles: We Before Me, Do the Right Thing, and Get Things Done. These values shape how we work and help us create a collaborative, rewarding and diverse environment for every OK-er.
- The Compliance function is responsible for promoting a strong compliance culture and supporting the safe, sustainable growth of OKX. We are a team of risk-minded problem solvers who advise the business on regulatory obligations, conduct expectations and enterprise risks.
- OKX Europe Markets Limited operates within a significant EU regulatory perimeter as a MiFID II investment firm authorised under the Investment Services Act (Cap. 370), providing dealing on own account and execution of orders on behalf of clients on a matched-principal basis, together with trustee, custodian and nominee services, across the EEA on a cross-border services passport. Our product range includes crypto-asset perpetuals and expiry futures, single stock and ETF-linked futures, commodity futures and crypto-asset options, and is expanding into money market fund and structured product offerings.
Обязанности
- As the Senior Compliance Analyst for OKX Europe Markets Limited, you will deliver the day-to-day operational compliance work of a fast-growing MiFID II investment firm: financial promotions review, complaints administration, regulatory and trade reporting support, monitoring testing and the firm's regulatory registers.
- This is a high-volume, execution-focused role. The function reviews in the order of seventeen pieces of marketing and promotional material each week and handles around five new complaints each week, both scaling with a client base that is growing towards 100,000 users, alongside recurring regulatory reporting, token-listing and licence-extension assessments and compliance monitoring testing. You will be the person who keeps that machinery running accurately and on time.
- You will gain broad exposure to MFSA supervision and EU financial services regulation, and direct visibility of how a MiFID II derivatives business is controlled in practice.
- The position reports to the Deputy Head of Compliance, with a secondary reporting line to the Head of Compliance and MLRO, OKX Europe Markets Limited.
- You will:
- Review client-facing marketing material and financial promotions for compliance with MiFID II fair, clear and not misleading standards and the MFSA advertisement rules, across paid and organic social, email, landing pages, banners, push notifications, video and KOL briefs, and prepare them for approval by the Deputy Head of Compliance or the Head of Compliance.
- Maintain the advertisement and marketing approval register, tracking each item from submission through amendment to approval, and supporting notifications to the MFSA where required.
- Administer the end-to-end complaints process: logging and triage, investigation, preparation of customer responses within regulatory deadlines, remediation follow-up and escalation of significant or recurring issues to the Deputy Head of Compliance.
- Produce complaints management information, root-cause and trend analysis to support the function's reporting to senior management, the Risk, Compliance and Audit Committee and the Board.
- Support trade and transaction reporting obligations, including data collection and validation, regulatory return preparation, review and sign-off coordination, submission and evidence retention.
- Conduct scheduled and ad-hoc testing under the Compliance Monitoring Programme, document findings, track remediation actions to closure and maintain the monitoring calendar.
- Prepare token-listing and licence-extension assessments and supporting documentation for review, and support new product and feature compliance reviews and local launch sign-off.
- Maintain the firm's core regulatory registers — regulatory correspondence, breaches, advertisements and the regulatory obligation register — ensuring an accurate, audit-ready flow of information to the MFSA and internal stakeholders.
- Draft and update compliance policies, procedures and entity-specific addenda for review and approval, in line with regulatory developments.
- Support regulatory-change horizon scanning, recording applicable changes against the obligation register and flagging implementation requirements.
- Handle first-line queries on compliance and AML/CFT matters, escalating appropriately, and support responses to legal, regulatory and law-enforcement requests.
- Support the retained AML/CFT work of the entity, including quality assurance sampling, high-risk onboarding and client-classification approvals, and internal and external audit support.
- Support the preparation of compliance reports and Board and committee materials, and other materials required by internal stakeholders.
- Work closely with teams such as Data, Engineering, Finance, Legal, Marketing, Product and Risk to embed an effective compliance framework aligned with MFSA and EU standards.
Требования
- Prior experience in a compliance, legal, regulatory or regulatory-operations role within financial services, investment firms, fintech or the crypto-asset sector.
- Sound understanding of the MFSA regulatory framework, MiFID II conduct-of-business requirements and EU financial services regulation.
- Demonstrable ability to handle a high, recurring caseload to deadline without loss of quality, and to prioritise between competing regulatory deadlines.
- High attention to detail, with the ability to maintain accurate, complete and audit-ready records and registers.
- Strong analytical ability, with the capacity to assess regulatory obligations against material or a process, identify gaps and produce well-reasoned written analysis.
- Clear written and verbal communication skills, including the ability to convey compliance requirements to non-specialist colleagues and to draft customer-facing responses.
- Strong organisational skills, able to manage multiple concurrent workstreams and meet regulatory deadlines.
- Comfortable operating with limited supervision, exercising judgement within a defined framework and escalating appropriately.
- A bachelor's degree in law, finance, business administration or a related field, or equivalent professional experience.
- Professional fluency in English.
Будет плюсом
- Experience reviewing or approving financial promotions or marketing material in a regulated firm.
- Experience administering a regulated complaints process.
- Experience with trade or transaction reporting, or with compliance monitoring and control testing.
- Experience working in Malta or with the Malta Financial Services Authority.
- Familiarity with derivatives conduct topics such as leverage and margin, appropriateness and suitability, client categorisation and best execution.
- A relevant professional qualification from the International Compliance Association, ACAMS or an equivalent body, or progress towards one.
- Knowledge of and genuine enthusiasm for the crypto and digital-assets industry.
Условия
- Competitive total compensation package.
- Learning and development programmes and an education subsidy.
- Team-building programmes and company events.
- Wellness and meal allowances.
- Comprehensive healthcare schemes for employees and dependants.
- Additional benefits that we would be pleased to discuss during the recruitment process.
Другое
- All official OKX vacancies are published on this website. While roles may appear on selected third-party platforms from time to time, information on other sites may be inaccurate or outdated. If in doubt, please apply directly through our official careers website.
- Information collected and processed as part of the recruitment process of any job application you choose to submit is subject to OKX 's Candidate Privacy Notice .