Capital.com

1 month ago

Compliance Officer

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 12 hours agoStatus: Live

Job Summary

Compliance Officer for Capital.com's Type I Financial Instruments Business in Japan. You will design and operate the compliance framework from the ground up, handling regulator filings, AML/CFT operations, trade surveillance, and internal controls, while coordinating with the global compliance team in a hybrid Tokyo-based setting.

Location: Tokyo

Workplace: Hybrid

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Key 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 regulators and self-regulatory organizations.
•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.

Pay and Benefits

Perks:Health InsurancePensionRemote WorkPaid LeaveReferral Program

Key Requirements

•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).
•English proficiency (to work with group-wide compliance policies and related materials).

Experience:3+ yearsFinanceFintechSecuritiesCrypto

Skills:CommunicationCollaborationProblem-solvingEnglish

Certifications:CAMSInternal Control Manager

Languages:English

Company Brief

Capital.com

Operates an online trading platform offering CFDs, forex, commodities, indices and cryptocurrencies to retail investors and traders, combining market access with educational content, analytics, and AI-driven insights for informed trading decisions.

Industry: Trading Platforms

Company Size: Large (251 to 1,000 employees)

Growth: Scaleup

Headquarters: London, United Kingdom

Founded: 2016

Website LinkedIn

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Capital.com

1 month ago

Compliance Officer

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 12 hours agoStatus: Live

Job Summary

Location: Tokyo

Workplace: Hybrid

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Key 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 regulators and self-regulatory organizations.
•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.

Pay and Benefits

Perks:Health InsurancePensionRemote WorkPaid LeaveReferral Program

Key Requirements

•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).
•English proficiency (to work with group-wide compliance policies and related materials).

Experience:3+ yearsFinanceFintechSecuritiesCrypto

Skills:CommunicationCollaborationProblem-solvingEnglish

Certifications:CAMSInternal Control Manager

Languages:English

Company Brief

Capital.com

Industry: Trading Platforms

Company Size: Large (251 to 1,000 employees)

Growth: Scaleup

Headquarters: London, United Kingdom

Founded: 2016

Website LinkedIn