Regulatory Compliance Officer

About Us

Allocated Bullion Exchange (ABX)

Allocated Bullion Exchange (ABX) is the world's leading electronic institutional exchange for allocated physical precious metals. The ABX brings global trading, price discovery, and clearing facilities into one standardised and secure online trading environment via our groundbreaking exchange trading platform, MetalDesk.

The exchange introduces a new centrally cleared, transparent, and cost-effective allocated exchange system and standard for the industry by offering precious metal market participants an exchange where they are able to trade, deliver, or store physical precious metal in 7 global locations. ABX gives market participants across the world direct access to one integrated and consolidated global wholesale bullion market. We have enhanced market efficiency, introduced inclusiveness and accessibility, and provided relevant real-time price discovery.

ABX has Modernised, Globalised & Integrated the precious metal markets by redefining the way physical bullion is traded. We connect all major global liquidity centres and break down the barriers to entry to the global wholesale market for all market participants.

Roles & Responsibilities

This role will report to the Deputy Head of Compliance and work closely with business, technology, marketing, and legal teams to conduct compliance assessments and provide compliance and risk mitigation requirements for the organization.

Additionally, this role will also monitor cryptocurrency-related transactions and alerts, handle ongoing screening of clients, assess potential risks, and ensure compliance with regulatory and internal requirements.

This is an exciting opportunity for someone with a keen interest in Compliance who is looking to gain hands-on experience in a fast-paced and evolving industry.

• Regulatory Compliance
• Proactively identifying and communicating deficiencies or gaps with regulatory compliance; providing guidance in the development of alternative solutions or implementation of corrective action.
• Provide full support on all regulatory and compliance matters, including periodic reporting and submissions to the Regulator.
• Maintain accurate and up-to-date records of regulatory obligations and submissions.
• Filing of internal SARs/STRs and others as required.
• Assist in outsourcing compliance in accordance with prevailing regulations
• Assisting in ensuring AML programs are in line with current industry best practices and both efficient and effective in terms of internal controls.
• Conducting compliance risk assessment programs, e.g., Anti-Money Laundering (AML) risk assessment and Privacy Risk assessment.
• Support the development and enhancement of compliance policies, procedures, and controls to meet regulatory standards.
• Maintain the Company's regulatory and compliance documents, which include, amongst other things, the Company's KYC and AML policies and procedures to ensure they are up-to-date and comply with the Company's as well as regulatory requirements.

• Special & Ad Hoc Projects
• Support compliance-related projects, including policy reviews, audits, and gap analyses.
• Assist in the design and implementation of process improvements to enhance compliance effectiveness.
• Coordinate with internal stakeholders (e.g., operations, finance, legal, technology) on cross-functional initiatives with regulatory impact.
• Provide compliance input and oversight on new business initiatives, products, or services.

• Advisory & Support
• Provide compliance guidance to business units to ensure alignment with regulatory and internal requirements.
• Participate in compliance training and awareness initiatives across the organization.
• Assist in responding to internal and external audit requests.
• Other ad hoc matters as and when required, as set out by the Chief Compliance Officer.

• Position Requirements
• Minimum 3 years of experience in operational & regulatory compliance.
• Experience with the usage of and/or understanding of cryptocurrency, either professionally or personally, is a plus
• Experience in regulatory reporting to regulators is a plus.
• Good understanding of AML/CFT, KYC compliance, compliance testing, and fraud detection/mitigation.
• Excellent verbal and written communication skills.
• Strong attention to detail and analytical skills.
• Ability to work independently and meet deadlines in a fast-paced environment.
• Strong organizational and problem-solving abilities.
• Ability to commit to working 9 a.m. - 6 p.m. MYT, Monday to Friday.

• Preferred Skills
• Experience in managing compliance programs for regulated e-payments, fintech, or related activities is a plus.
• Excellent relationship management skills, including the ability to interact with individuals at various levels, internal and external to the company.
• Demonstrated ability to function in a fast-paced, ambiguous environment while managing multiple and diverse responsibilities.
• Proven ability to develop and implement new business plans or change direction in a dynamic environment.
• Excellent judgment and decision-making skills; ability to analyse and respond to issues.
  

What We Offer

• Flexible working arrangements
• Competitive salary
• Ongoing professional development
• Welcoming and supportive culture
• Diverse, global team