Forex / Trading

Cyprus

Trade Capital Markets (TCM) Ltd

Compliance & Regulatory Affairs

Position OverviewThe Junior Monitoring Compliance Officer is responsible for supporting the Compliance Department in monitoring client communications, handling client complaints, and ensuring the organisation’s adherence to all applicable laws, regulations, and internal policies. The role plays a key part in safeguarding the firm’s integrity and protecting client interests through diligent oversight and reporting.&nbsp;Key ResponsibilitiesCall Monitoring &amp; Surveillance•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Conduct regular monitoring and review of recorded client telephone calls to ensure adherence to regulatory requirements and internal policies.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Identify potential compliance breaches, instances of misconduct, or deviations from approved scripts and procedures during client interactions.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Document findings accurately and escalate issues to the Senior Compliance Officer as appropriate.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Maintain detailed monitoring logs and prepare periodic reports summarising call monitoring activities and outcomes.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Assist in developing and refining call monitoring procedures, checklists, and quality assurance frameworks.Client Complaints Handling•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Receive, log, and acknowledge client complaints in accordance with the firm’s complaints handling policy.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Investigate complaints thoroughly by gathering relevant information, reviewing records, and liaising with the appropriate departments.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Prepare written responses to complainants within regulatory timeframes, ensuring clarity, fairness, and compliance.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Maintain the complaints register and ensure all records are up to date, accurate, and audit-ready.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Identify recurring complaint themes and recommend corrective actions or process improvements to management.General Compliance Functions•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Assist in monitoring the firm’s compliance with all relevant regulatory obligations, including MiFID II, GDPR, and other applicable legislation.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Support the preparation and maintenance of compliance policies, procedures, and manuals.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Participate in compliance risk assessments and contribute to the development of the firm’s compliance monitoring programme.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Assist in conducting internal reviews and audits to assess the effectiveness of compliance controls.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Monitor regulatory developments and assist in evaluating their impact on the firm’s operations and policies.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Support the delivery of compliance training and awareness programmes for staff.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Assist in the preparation of regulatory filings, notifications, and reports to the relevant authorities.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Maintain organised and accessible compliance records and documentation.&nbsp;Qualifications &amp; RequirementsEducation &amp; Experience•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Bachelor’s degree•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; 0–2 years of experience or internship is considered an advantage in a compliance, risk management, or regulatory role within financial services•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Familiarity with financial regulations is an advantage.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; AML Certifications and/or CySEC Certification will be considered an advantage&nbsp;Skills &amp; Competencies•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Strong attention to detail and analytical skills.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Excellent written and verbal communication skills in English and Greek language•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Good organisational skills with the ability to manage multiple tasks and meet deadlines.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; High level of integrity, professionalism, and discretion when handling sensitive information.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Proficiency in Microsoft Office Suite (Word, Excel, Outlook).•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Ability to work both independently and collaboratively within a team environment.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Proactive attitude with a willingness to learn and develop within the compliance field.&nbsp;What We Offer•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Competitive salary and benefits package.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Opportunity for professional growth and career advancement within Compliance.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Supportive team environment with mentoring from experienced compliance professionals.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Ongoing training and professional development opportunities.•&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exposure to a dynamic and regulated financial services environment.&nbsp;If you are interesting please send your CV to <a href="mailto:hr@tradecapitalmarkets.com">hr@tradecapitalmarkets.com</a>

Junior Monitoring Compliance Officer

Junior Monitoring Compliance Officer

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