OANDA Japan is regulated by the Japan Financial Services Authority (JFSA), the Financial Futures Association of Japan, the Security Dealers Association, with the Ministry of Economy, Trade and Industry (METI) and the Ministry of Agriculture, Forestry and Fisheries (MAFF) to provide an online trading service in FX, and CFDs on indices, commodities and bonds, with a further application in course with regards to the ability to offer Crypto-currency CFDs.
The successful candidate will be responsible for the compliance activities, ensuring that all business activities and operations are in compliance with the various Japanese regulatory and legal requirements.
The successful candidate will initially report to the Head of Compliance with the intention being that they will become the Head of Compliance within a 6/ 12 month period, and will be based in Tokyo.
Requirements and responsibilities of this role include:
- Reviewing policies and procedures to ensure compliance with various regulatory and legal requirements. Ensure Compliance risks are appropriately identified and addressed.
- Advising business on all aspects of compliance with laws, rules and regulations.
- Approving firm marketing and advertising material, including website copy and FAQs.
- Oversight and management of customer complaint handling, including maintenance of internal complaint log.
- Providing advice and guidance on all AML associated matters, eg: onboarding new clients, funding referrals, etc.
- Ownership of comprehensive compliance monitoring/ testing program, to ensure and provide assurance that all operations, systems and controls are operating effectively. Including the implementation of monitoring methodologies and test scripts to ensure the efficacy of control design and effectiveness in mitigating compliance and operational risk. Reviews to include the writing of reports, detailing findings and any resultant practical remedial actions/ solutions – which then need to be progressed to a satisfactory conclusion.
- Accurate and comprehensive recording as well as actioning of key metrics: vulnerable clients, fraudulent applications and clients, STRs, STORs and SARs, sanction and PEP (and adverse media) screening, etc.
- Maintenance of internal logs and registers: complaints, breaches, sanction and PEP screening results, fraud incidents, cyber incidents, platform downtime, training, STRs/ SARs, advertising/ financial promotions, etc.
- Management and administration of all employee regulated online e-training and face-to-face compliance related training.
- Oversight of all security related issues.
- Management of regulatory transaction reporting.
- Production and presentation of monthly Compliance reports to the Management Committee.
- Performing other Compliance-related activities and ad-hoc projects as needed.
Experience/ Skills Required
- Degree required.
- 6+ years of relevant Compliance experience at a similar type and size of investment/ broker firm.
- Knowledge of relevant Japanese regulatory requirements
- AML/KYC experience
- Fluent in both Japanese and English, both verbally and in writing
- Strong verbal and written communication skills, as well as pragmatic decision-making skills.
- Highly driven and motivated, organised with the ability to engage and influence stakeholders.
- Analytic, with attention to detail and an enquiring mind and investigative approach.
- Able to independently manage timelines.
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.