capital.com
Compliance Officer
TLDR
Lead the build-and-run of a Type I Financial Instruments compliance program in a launch market, crafting internal controls from the ground up with global team collaboration.
We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.
As part of Capital.com's expansion into the Japanese market, you will build and run the compliance framework for our Type I Financial Instruments Business from its foundations. The role covers the full scope of compliance — from drafting internal rules and dealing with the regulator and self-regulatory organizations, to AML/CFT operations and trade surveillance — making you central to the credibility of our Japan operation. Because we are in the launch phase, you will have unusual latitude to design an internal control framework that meets Japanese regulatory requirements from the ground up, working closely with our global compliance team.
Responsibilities
• Develop and maintain the compliance policy framework and internal control rules for the Type I Financial Instruments Business.
• Handle filings, reports, and inspections involving the regulators (Financial Services Agency and Local Finance Bureau) and self-regulatory organizations (Japan Securities Dealers Association, The Financial Futures Association of Japan, The Commodity Futures Association of Japan, and Japan Virtual and Crypto assets Exchange Association).
• Build the customer due diligence (CDD/EDD) framework, run transaction monitoring, and file suspicious transaction reports.
• Conduct trade surveillance for insider trading and other unfair trading practices, and plan and deliver internal compliance training.
• Review advertising and sales materials for conformity with the Financial Instruments and Exchange Act and advertising regulations.
• Build and operate the account-opening review and customer management framework.
• Establish the framework for handling complaints and dispute resolution (FINMAC and similar bodies).
• Keep the group-wide compliance policies aligned with domestic regulations, working with the global team.
• Operate and administer corporate bodies such as the Compliance Committee and the Board of Directors.
Requirements
• Handle filings, reports, and inspections involving the regulators (Financial Services Agency and Local Finance Bureau) and self-regulatory organizations (Japan Securities Dealers Association, The Financial Futures Association of Japan, The Commodity Futures Association of Japan, and Japan Virtual and Crypto assets Exchange Association).
• Build the customer due diligence (CDD/EDD) framework, run transaction monitoring, and file suspicious transaction reports.
• Conduct trade surveillance for insider trading and other unfair trading practices, and plan and deliver internal compliance training.
• Review advertising and sales materials for conformity with the Financial Instruments and Exchange Act and advertising regulations.
• Build and operate the account-opening review and customer management framework.
• Establish the framework for handling complaints and dispute resolution (FINMAC and similar bodies).
• Keep the group-wide compliance policies aligned with domestic regulations, working with the global team.
• Operate and administer corporate bodies such as the Compliance Committee and the Board of Directors.
• Hands-on compliance experience at a securities firm, FX/CFD broker, or crypto-asset exchange service provider (3+ years, or equivalent demonstrable capability).
• Experience building internal rules and internal control frameworks (such as registration applications for a financial instruments business).
• Internal Control Manager qualification of the Japan Securities Dealers Association and Internal Control Manager qualification of The Financial Futures Association of Japan — either held or expected to be obtained.
• Working knowledge of relevant laws, including the Financial Instruments and Exchange Act, the Act on Prevention of Transfer of Criminal Proceeds, the Act on the Protection of Personal Information, and the Act on the Use of Numbers to Identify a Specific Individual in Administrative Procedures (My Number Act).
• Experience building internal rules and internal control frameworks (such as registration applications for a financial instruments business).
• Internal Control Manager qualification of the Japan Securities Dealers Association and Internal Control Manager qualification of The Financial Futures Association of Japan — either held or expected to be obtained.
• Working knowledge of relevant laws, including the Financial Instruments and Exchange Act, the Act on Prevention of Transfer of Criminal Proceeds, the Act on the Protection of Personal Information, and the Act on the Use of Numbers to Identify a Specific Individual in Administrative Procedures (My Number Act).
• English proficiency (to work with group-wide compliance policies and related materials).
Preferred
• Experience with the registration process for a new Type I Financial Instruments Business.
• AML qualifications such as CAMS (Certified Anti-Money Laundering Specialist).
• Deep understanding of derivative products (FX and CFDs).
• AML qualifications such as CAMS (Certified Anti-Money Laundering Specialist).
• Deep understanding of derivative products (FX and CFDs).
What you will get in return:
• Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated.
• Work-Life Harmony: Join a company that genuinely cares about you - because your life outside of work matters just as much as your time on the clock. #LI-Hybrid
• Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry.
• Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team.
• Comprehensive Health & Pension Benefits: From medical insurance to pension plans, we’ve got your back. Plus, location-specific benefits and perks!
• Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
• Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.
Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.
Benefits
Health Insurance
Comprehensive Health & Pension Benefits: From medical insurance to pension plans, we’ve got your back. Plus, location-specific benefits and perks!
workation benefits
Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
Paid Time Off
Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.
Capital.com is an innovative trading platform designed for a global audience, offering top-rated financial products that emphasize a seamless user experience. We're committed to pushing the boundaries of technology in the trading industry, making it easy for users to access the financial markets and achieve their investment goals.
- Founded
- Founded 2016
- Employees
- 201-500 employees
- Industry
- Internet Software & Services
- Total raised
- $25M raised
Compliance Officer