Senior Compliance Officer

Company & Culture
EXANTE is a pioneering wealth tech company that delivers cutting-edge centralized trading solutions and robust B2B financial infrastructure, driving value through innovative technology. Our proprietary trading platform offers seamless access to diverse financial instruments including stocks, ETFs, bonds, futures, and options all within a single, multi-currency account.

We cultivate a culture that transcends the ordinary, where rapid responses to market dynamics and proactive problem-solving are the norm. At EXANTE, the potential to make a meaningful impact is ever-present. Our team members continuously pursue personal and professional growth, empowered to spearhead change across people, processes, and products. True innovation stems from an insatiable desire for improvement, and everyone at EXANTE is committed to fostering this spirit and propelling the company into the future.

As a rapidly expanding global firm with over 600 talented employees from 65 nationalities across 70 locations, we are a frontrunner in the financial sector. Our investment priorities are clear: We prioritize investing in our most valuable asset - our people. Join us in shaping the future of finance.

About The Role
We are seeking an experienced and detail-oriented Senior Compliance Officer to oversee and enhance the company's regulatory compliance framework in Poland. The ideal candidate will have solid experience in working with the Polish Financial Supervision Authority (KNF) and possess advanced expertise in Poland's regulatory framework for retail and professional investment services, and a strong network of regulatory contacts.

The Compliance Officer will act as the primary liaison with regulators, ensure the company's adherence to applicable laws and internal policies, and promote a culture of compliance across all business units.

EXANTE is a global family of brokers licensed individually by the FCA (UK), MFSA (Malta), CySEC (Cyprus) and SFC (Hong Kong) with a footprint extending across 20+ global locations including London, Cyprus, Malta, and Hong Kong. EXT Poland is the Polish branch which forms a strategic gateway for expanding in Central & Eastern Europe and is positioned to engage deeply with the Polish regulatory environment under the oversight of the Polish Financial Supervision Authority (KNF).

Reporting Line:
Deputy Head of Compliance

Worksite
: Hybrid

Responsibilities
Regulatory Liaison and Reporting

• Act as the primary liaison with KNF, building and maintaining trusted relationships, and representing EXT in regulatory dialogues.
• Advise senior management on regulatory strategy: represent the firm in consultations, working groups, industry bodies and organizations in Poland.
• Serve as the main point of contact with KNF and other regulatory bodies, managing all correspondence and reporting on behalf of the company.
• Ensure timely submission of regulatory filings, notifications, and responses to information requests.

Compliance Governance and Oversight

• Monitor, interpret and communicate Polish regulatory developments relevant to brokerage and investment services
• Oversee compliance with:
• MiFID II/MiFIR obligations as implemented in Poland (client classification: retail, professional, eligible counterparty; suitability/appropriateness; best execution; inducements; product governance).
• AML/CFT and beneficial ownership obligations (including Polish AML Act and Polish FIU GIIF) for branch operations.
• Polish data protection and local conduct regimes as they apply to investment services.
• Oversee the local compliance framework tailored to Poland's regulatory regime, aligned with EXT and Exante Global policies, and Polish law.
• Maintain internal compliance policies and procedures in line with Polish regulatory developments and best practices.
• Oversee transactions, records, counterparties' agreements, marketing/promotional materials, and advertisements to ensure full regulatory compliance.
• Conduct periodic reviews of the company's website and communications to verify compliance with current legal and regulatory requirements.
• Oversee the periodic review of the company's product governance framework.
• Manage internal compliance reviews, risk-assessments and remediation of audit/inspection findings.
• Oversee onboarding processes to ensure full compliance with local Polish requirements for investment firms, broker-dealers branches established in Poland).
• Maintain documentation, registers, policies consistent with Polish legal requirements (Act on Trading in Financial Instruments, KNF rules, Ministry of Finance regulations).

Advisory and Training

• Act as an advisor to other business units on compliance matters, ensuring operational decisions align with regulatory requirements.
• Deliver ongoing training and awareness programs for employees on compliance obligations, ethical conduct, and regulatory updates.
• Ensure that a sufficient level of compliance knowledge is maintained across the organization.

Client Protection and Reporting

• Oversee and ensure adherence to procedures regarding client reporting obligations.
• Investigate and manage client complaints in accordance with internal procedures and regulatory standards.
• Review and validate client communications to ensure accuracy, transparency, and compliance with consumer protection laws.

Qualifications

• Bachelor's or Master's degree in Law, Finance, Economics, or a related field.
• Minimum 10+ years of experience in a compliance role within the financial services sector.
• Proven experience liaising with KNF or other financial regulators. Prior service at KNF or a major Polish regulated entity is highly desirable.
• Strong understanding of Polish and EU financial regulations, including MiFID II, AML/CFT, and GDPR.
• Excellent analytical, communication, and problem-solving skills. Fluency in Polish and English (both written and spoken) is required.
• Professional certifications (e.g., CAMS, ICA, or equivalent) will be an advantage.

Personality / Mindset

• Integrity and sound ethical judgment
• Strong attention to detail and organizational skills
• Ability to interpret and apply complex regulations
• Proactive, with strong interpersonal and influencing skills
• Capable of working independently and managing multiple priorities

We Offer*

• Competitive salary & performance-based bonus programs.
• Corporate benefits (choose your preferred options).
• Truly inspiring culture, pleasant and informal work environment.
• Ongoing education & training programs.
• Opportunity to network and connect in the Corporate Events.
• Global career opportunities.
• Benefits/perks can vary depending on the nature of your employment with the company and the country where you work.

EXANTE was created by a group of disruptive technology experts. With an impressive track record in the industry and knowledge of the markets, our systems are built to democratize access to global financial instruments for professional traders and institutional investors.