EMEA
Remote
Senior
Full Time
compliancefinancial_servicesregulatoryMTFMiFIDsenior_role
Requirements
- •10 years plus in regulatory compliance within financial services, market infrastructure, fintech or crypto, including time at a senior or head-of-function level.
- •Direct experience of trading venue compliance: MTF, OTF, regulated market, SI or an equivalent execution venue.
- •Working knowledge of MiFID II and MiFIR as they apply to venue operators: Articles 18–20 and 31 (MTF operating requirements and rule monitoring), Articles 48–50 (orderly trading), MiFIR transparency and transaction reporting, and the associated RTS.
- •Practical experience of market abuse surveillance and MAR obligations for a venue operator, including STOR decision-making.
- •Experience developing and owning a compliance framework that has stood up to regulatory examination, and a track record of engaging supervisors directly.
- •Experience preparing and defending compliance reporting to a board or regulator.
- •Familiarity with MFSA Investment Services Rules and Malta's regulatory environment, or a demonstrable ability to get there quickly from another EEA jurisdiction.
- •Strong project management skills and the ability to run several regulatory workstreams to deadline.
- •Comfortable working independently and in a dispersed, cross-border team across multiple varied tasks.
- •Highly ethical, intuitive, and willing to question and challenge at every level of the business.
- •Strong written and verbal communication, with the ability to explain venue regulation to engineers and commercial teams.
- •Eligible for MFSA approval as the holder of the compliance function.
- •Bachelor's degree or equivalent practical experience.
What You'll Do
- •Own the MTF compliance framework end to end: policies, procedures, controls, registers and the compliance monitoring programme covering MiFID II, MiFIR, MAR and the MFSA Investment Services Rules applicable to MTF operators.
- •Act as the primary compliance point of contact for the MFSA on venue matters: authorisation variations, notifications, thematic reviews, RFIs, inspections and remediation.
- •Own the venue rulebook. Keep it current, ensure it is enforceable, and run the governance process for changes.
- •Oversee member and participant admission: eligibility criteria, non-discriminatory access, direct electronic access arrangements, sponsored access controls, and ongoing monitoring of members' compliance with the rules of the venue.
- •Oversee admission to trading of financial instruments, including the compliance assessment of new instruments, product classes and tokenised or DLT-based instruments where relevant.
- •Provide compliance oversight of orderly trading requirements: systems capacity and resilience, testing of members' algorithms, circuit breakers, order-to-trade ratios, tick sizes, market making schemes and clock synchronisation.
- •Provide compliance oversight of pre- and post-trade transparency, waivers and deferrals, transaction reporting, reference data and the accuracy and completeness controls behind them.
- •Advise the business on the interaction between the MTF and OKX's wider European footprint: the MiFID derivatives business, MiCA-authorised activity in OKX Europe Ltd, and the DLT Pilot Regime where a DLT MTF is in scope.
- •Deliver the annual compliance risk assessment, the compliance monitoring plan and the compliance report to senior management and the Board.
- •Build, lead and develop the MTF compliance team, and set the compliance training curriculum for venue-facing staff, trading operations and technology.
- •Give day-to-day advice to product, engineering, trading operations, legal and market operations in a fast-moving regulatory environment, including sign-off on venue changes, launches and marketing where required.
- •Oversee compliance aspects of outsourcing, critical third parties and operational resilience, including DORA obligations relevant to the venue.
- •Prepare Board, committee and matrix stakeholder reporting, and represent OKX with the MFSA, ESMA consultations, industry bodies and peer venue forums.
Nice to Have
- •Prior experience in the crypto industry, particularly tokenised instruments, crypto derivatives or a MiCA-authorised trading platform.
- •Experience with the DLT Pilot Regime or another distributed ledger market infrastructure.
- •Experience of a trading venue authorisation or a licence variation to add MTF operation.
- •Familiarity with surveillance platforms (Nasdaq Trade Surveillance, Eventus, Scila, Steeleye or similar) and with transaction reporting tooling.
- •International Compliance Association, ACAMS, CISI or equivalent compliance certification.
Benefits
- •Competitive total compensation package
- •L&D programs and Education subsidy for employees' growth and development
- •Various team building programs and company events
- •Wellness and meal allowances
- •Comprehensive healthcare schemes for employees and dependants
- •More that we love to tell you along the process!
About OKX
OKX is the second largest global crypto exchange by trading volume and a leading Web3 ecosystem.
Victoria, Seychelles
1000 - 5000
Blockchain & Cryptocurrency