Senior Compliance Officer

Who we are

We are a global wealth-tech company powering the next generation of trading. We deliver cutting-edge centralised trading solutions and robust B2B financial infrastructure. Our proprietary trading platform offers clients seamless access to stocks, ETFs, bonds, futures, options, swaps, funds, and currency pairs- all within a single, multi-currency account.

We believe in the boundless flow of capital and information. Whilst developing EXANTE, we saw technology as a means to improve global connectivity of the financial services industry. Over the years, we have earned a reputation for providing superior service and for getting the results our clients and customers want.

Most importantly, people have come to know us for our technological insights and focus on privacy. Our inspiration stems from the talent and ambition of our clients. We are offering an ecosystem of financial products and services that would provide the most tailored assistance to traders.

Our culture

Everything at EXANTE starts with our people. We bring together 600+ minds from 65 nationalities across 70 locations. We place trust in our team with real autonomy - the freedom to drive change across products, processes and everything in between. That trust fuels innovation, and the demands of the markets build resilience; we adapt, push forward, and we look after each other while we do it.

That freedom is matched by real investment in growth: we back our people with ongoing learning, hands-on development and the kind of stretch opportunities that turn good careers into great ones. Here, progression isn’t something you wait for - it’s something you’re actively supported to pursue.

Company & Culture

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

We cultivate a culture that transcends the ordinary, where rapid responses to market dynamics and proactive problem-solving are the norm. At EXANTE, the potential to make a meaningful impact is ever-present. Our team members continuously pursue personal and professional growth, empowered to spearhead change across people, processes, and products. True innovation stems from an insatiable desire for improvement, and everyone at EXANTE is committed to fostering this spirit and propelling the company forward.

As a rapidly expanding global firm with over 600 talented employees from 65 nationalities across 70 locations, we are a frontrunner in the financial sector. Our investment priorities are clear: We prioritise investing in our most valuable asset—our people. Join us in shaping the future of finance.

About the Role

EXT LTD is seeking an experienced compliance professional to serve as its Senior Compliance Officer. This is the firm's most senior compliance role, registered with CySEC, with direct reporting to Senior Management and the Board of Directors.

Reporting line: Head of Global Compliance

Worksite : Hybrid

Responsibilities

Regulatory Ownership & Compliance Framework

• Serve as the firm's named Compliance Officer registered with CySEC, maintaining registration in CySEC's public register of certified persons.
• Design, own, and maintain the firm's compliance framework, including the Compliance Risk Assessment, Compliance Monitoring Programme, policies, procedures, and controls matrix, ensuring it remains proportionate to the scale and nature of the firm's investment services.
• Act as the firm's primary point of contact with CySEC on all compliance matters, including regulatory queries, inspections, and the immediate disclosure of any material development affecting the compliance function.
• Ensure the compliance function operates permanently and independently, with written continuity arrangements in place for periods of absence.

Compliance Monitoring & Risk Assessment

• Conduct and document the annual Compliance Risk Assessment, identifying and prioritising compliance risks across all business units, and updating it on an ad hoc basis in response to emerging risks or regulatory changes.
• Establish, execute, and maintain a risk-based Compliance Monitoring Programme that evaluates whether the firm's business is conducted in accordance with its obligations under the Law, MiFID II, and CySEC rules, and whether internal policies, procedures, and controls remain effective.
• Review and assess CMP findings, identify systemic deficiencies, and escalate unresolved matters to Senior Management and the Board without delay.
• Challenge business units when practices diverge from the compliance framework, and hold them accountable for agreed remediation actions.

Governance & Reporting

• Prepare and present the Annual Compliance Report to the Board, covering all investment services business units, CMP findings, material deficiencies, and remediation progress.
• Provide regular management information to Senior Management on compliance status, open matters, monitoring outcomes, and material regulatory developments.
• Chair or participate in the firm's compliance governance forum, ensuring compliance considerations are embedded in business decision-making.
• Liaise with internal and external auditors on compliance matters, serving as the primary internal point of contact for their reviews.

Advisory, Training & Policy

• Provide day-to-day advisory support to management and staff on compliance questions, and support the embedding of a strong compliance culture at all levels of the organisation.
• Participate in the development and review of the firm's internal policies and procedures, including remuneration policy, product governance frameworks, and client-facing documentation, to ensure compliance with applicable requirements.
• Lead or coordinate compliance training for staff and management, ensuring all relevant personnel understand their obligations under the Law, MiFID II, and CySEC rules.
• Review and clear new products, services, and material business changes for regulatory compliance before launch.

Regulatory Horizon & Regulatory Relations

• Monitor regulatory developments from CySEC, ESMA, and EU-level legislative processes, assess their impact on the firm, and advise Senior Management and the Board on required responses.
• Manage the firm's relationship with CySEC proactively, ensuring that all regulatory filings, notifi