It is a global online banking company headquartered in Europe, and has been operating in Japan since 2007. They enable individual and institutional clients to trade more than 40,000 instruments globally from one single margin account and provides institutional clients such as banks and fintech with Open Banking solutions from multi-asset execution, prime brokerage services to trading technologies. Its multi-asset platform provides access to trade across FX, FX Options, Futures, Stock Options, Stocks, Bonds, CFD's, Indices, etc.
- To provide commercially-minded compliance support and advice on a broad range of matters (commercial, financial, regulatory, corporate, IP, IT, data protection etc.); to ensure business activities are conducted in line with applicable laws, regulations and internal policies.
- To advise on compliance-related issues relating to licensing, AML and Know-Your-Customer, product development etc.
- Assist in reviewing promotional, marketing and advertising materials, including website.
- To plan and execute compliance and AML controls, monitoring and surveillance
- Respond to and investigate client complaints
- To review and advise the business units on the impact of new and upcoming laws and regulations
- Dealing with regulatory and other official enquiries.
- Undertaking compliance training for staff where relevant
- Participation in internal, external and regulatory audits.
- To regularly review and keep up-to-date relevant internal policies and procedures as well as client terms and agreements.
- Assist with all Board matters and Board meetings
- Participate in projects and provide compliance related inputs where relevant.
- リテール向けの法令諸規則、あるいは 内部監査業務サポート経験がある方は尚良し