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Compliance and Risk Oversight Specialist

1 week ago

Kuala Lumpur, Kuala Lumpur, Malaysia Hytech Empire Full time

Role Overview

As the Global Trading Complaints Lead, you will be responsible for overseeing and optimizing the trading complaints management process to ensure efficiency, consistency, and regulatory compliance.

You will directly handle complex complaint cases, lead initiatives to improve SOPs, training, and FAQs, and enhance the team's ability to manage customer complaints effectively.

This role requires close collaboration with multiple departments and global teams—including Compliance, Risk, Product, and IT—to improve customer experience and mitigate compliance risks.

Responsibilities

  1. Oversee trading complaints management, ensuring efficiency and adherence to compliance requirements.
  2. Develop, refine, and update complaint-handling SOPs, FAQs, and training materials, ensuring effective execution within the team.
  3. Analyze complaint data to identify trends and drive cross-departmental improvements.
  4. Handle complex and high-impact complaint cases, providing expert decision-making support.
  5. Ensure all complaint-handling processes comply with local regulations (e.g., ASIC, FCA) by working closely with the Compliance team.
  6. Lead and train the complaints team to enhance their expertise and customer communication skills.
  7. Act as a liaison between departments, collaborating with IT, Risk, Finance, and Product teams to drive product and system improvements related to complaints.
  8. Report key complaint trends, data insights, and recommendations to management regularly.

Requirements

  • 3-5 years of experience in complaints management, customer service, or trading support, with leadership experience preferred.
  • Strong knowledge of financial trading, MT4/MT5, and CFD products is a plus.
  • Proven ability to develop and implement SOPs, FAQs, and training programs.
  • Strong analytical skills, capable of identifying trends from complaint data and proposing improvement strategies.
  • Excellent written and verbal communication skills in English, with the ability to convey ideas clearly and professionally.
  • Strong logical thinking, multi-tasking abilities, and problem-solving skills in a fast-paced environment.
  • Understanding of financial industry compliance requirements and ability to work effectively with Compliance and Legal teams.