Senior Compliance Executive (Full-Time, On-Site)
Location: Greater Kuala Lumpur
Company Description
Nexus Fintrade Limited is a trusted CFD trading platform offering access to over 100+ instruments, including currency pairs, equities, indices, precious metals, energies, and commodities. Through our mobile trading application, we deliver a secure, efficient, and compliant trading environment to a global client base.
Role Description
We are seeking an experienced Senior Compliance Executive to oversee and strengthen the company’s regulatory compliance framework. This role is critical in ensuring adherence to applicable laws, regulations, and licensing requirements across multiple jurisdictions. The successful candidate will work closely with internal stakeholders, regulators, and external service providers to maintain robust compliance standards and operational integrity.
Key Responsibilities
Regulatory Compliance & Governance
- Ensure full compliance with applicable laws, regulations, and regulatory guidelines issued by relevant authorities.
- Monitor and stay abreast of crypto licensing requirements, money brokering legislation, and evolving regulatory obligations.
- Oversee AML/CFT compliance, including monitoring, reporting, and regulatory filings.
- Maintain effective record-keeping and regulatory reporting systems.
Policies, Procedures & Controls
- Develop, review, and maintain compliance policies, SOPs, and operational manuals in accordance with regulatory requirements.
- Conduct regular reviews of compliance arrangements and internal control systems to identify gaps or deficiencies.
- Recommend and implement updates or enhancements to SOPs and compliance frameworks where necessary.
Audits, Reporting & Board Engagement
- Conduct internal compliance audits and coordinate with internal and external auditors.
- Prepare and present an Annual Compliance Report to the Board, summarizing key compliance matters, observations, and regulatory developments.
- Ensure records, books of accounts, and outsourcing service level agreements (if applicable) are readily available for inspection.
Regulatory Filings & Stakeholder Liaison
- Ensure timely submission of statutory filings and reports to relevant authorities, including:
- Financial Services Authorities Inland Revenue
- Social Security Organization (SOCSO)
- Employees Provident Fund (EPF)
- Other applicable regulatory or statutory bodies
- Liaise with regulators, company secretaries, bankers, tax agents, and statutory bodies as required.
Operational Oversight & Strategic Projects
• Support the smooth day-to-day operations of the company in line with regulatory requirements.
• Provide compliance oversight for:
• CRM systems
• Licensed entities in Labuan, Mauritius, and El Salvador (in progress)
• Tokenization and digital asset-related projects
• Deliver compliance training and awareness programs to employees.
Qualifications & Experience
- Bachelor’s degree in Law, Business, Finance, or a related discipline.
- Strong working knowledge of regulatory compliance, AML/CFT, and financial services laws.
- Proven ability to develop, implement, and maintain compliance policies and procedures.
- Excellent analytical skills with the ability to assess and mitigate compliance risks.
- Strong interpersonal and communication skills, with experience engaging regulators and senior stakeholders.
- High attention to detail and ability to work independently.
- Prior experience in the financial services, trading, fintech, or crypto industry is highly advantageous.
