Compliance Officer

Everyone at OANDA is focused on our vision to transform how our customers can meet all their currency needs. We are revolutionising the world of currency trading by providing innovative trading experiences, currency data and analytics solutions. Dare to be open, bold, focused - own it and apply! The future is now!

OANDA Japan, Inc. provides the FX, Index/Commodity CFD services to retail investors in Japan.

As a member of OANDA’s global compliance team, you are expected to perform variety of compliance roles, and to work jointly with the Head of Compliance in Japan. You will also need to possess a keen eye for detail, and critically evaluate issues.

The main responsibilities include:

1. Monitoring and Testing

• Develop and update compliance monitoring and testing program for regulatory compliance and investor protection.
• Conduct periodic compliance monitoring and testing, assess gaps or material areas for improvements, and oversee the implementation of solutions to address these gaps independently.
• Track and follow through with the remediation, to achieve recurrence prevention as much as practicable.

2. Marketing Compliance

• Critically review marketing literature (including web content) and marketing campaign schemes against the relevant regulatory requirements and provide advice to stakeholders from regulatory compliance point of view.

3. AML/CFT

• Perform adequate customer due diligence to meet AML/CFT and anti-social forces regulatory requirements (shared responsibility with the Customer Services (CX) team in Japan / collaboration with CX team required).
• Conduct ongoing customer due diligence and trade surveillance, where necessary to critically assess and implement the appropriate remediations arising.
• Critically assess and recommend submission of suspicious activity reports to the local regulator.

4. Regulatory Communications

• Support regulatory communications and relationships with the local regulators and industry associations.
• Design process and take ownership of submission of periodic and ad-hoc reports including system incident escalations to the local regulators and industry associations.
• Critically assess regulatory requests and independently follow through with the appropriate follow up actions.

5. Policy Administration

• Maintain local policies and procedures in OANDA Japan, Inc. and perform periodic reviews to meet regulatory requirements.
• Prepare revised drafts or new policies following regulatory changes or revision of OANDA’s global policies.
• Support the business to implement new business practices at the enactment of new or revised policies as necessary.

6. Staff Training

• Plan and conduct compliance training program for local staff in Tokyo.
• Design effective training materials and deliver presentations to local staff.

Requirements

• 3 to 5 years of regulatory compliance experience in financial institutions;
• compliance testing experience is preferred;
• strong verbal and written communication, in both English and Japanese;
• highly driven, organised and possess ability to engage and influence stakeholders;
• good appreciation of Financial Instruments and Exchange Act in Japan, JFSA guidelines and industry association rules (e.g. JSDA);
• understanding of regulations over AML/CFT and anti-social forces regulations and sufficient experience of relevant practices;
• JSDA 1st class sales representative and internal administrator qualification;
• detail-oriented, motivated and able to derive effective recommendations and see through the complete implementation of the recommendations.

OANDA Global Corporation is a diverse and global team with offices around the world. We value the unique skills and experiences each individual brings to OANDA. We are committed to creating and sustaining a collegial work environment in which all individuals are treated with dignity and respect and one which reflects the diversity of the community in which we operate. We provide an inclusive and accessible environment for everyone. Candidates selected for an interview will be contacted directly. If you require accommodation during the recruitment and selection process, please let us know. We will work with you to provide as seamless a recruitment experience as possible.

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