Compliance Officer, Asia Pacific


Singapore

 

Key Duties & Responsibilities

 

In charge of overseeing and managing compliance issues within OANDA Asia Pacific Pte. Ltd (company), ensuring, for example, that the company is complying with regulatory requirements, and that the company and its employees are complying with internal policies and procedures. 

  • Develop initiatives, maintain and revise policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical or improper conduct.
  • Develop and periodically review and update Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees.
  • Collaborate with other departments to direct compliance issues to appropriate existing channels for investigations and resolution.
  • Respond to alleged violations of rules, regulations, policies, procedures and Standards of Conduct by evaluating or recommending the initiation of investigative procedures – within timeframes set out by relevant regulations. Develop and oversee a system for uniform handling of such violations.
  • Act as an independent review and evaluation body to ensure that compliance issues/concerns within OANDA are being appropriately evaluated, investigated and resolved.
  • Conduct day to day compliance monitoring, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.
  • Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues and provide general guidance on how to avoid or deal with similar situations in the future.
  • Provide reports on a regular basis, and as directed or requested, to keep the Corporate Compliance Committee of the Board and senior management informed of the operation and progress of compliance efforts.
  • Ensure proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
  • Institute and maintain an effective compliance communication program for the company, including promoting (a) heightened awareness of Standards of Conduct, and (b) understanding of new and existing compliance issues and related policies and procedures.
  • Work with the Human Resources Department and others as appropriate to develop an effective compliance-training program, including appropriate introductory training for new employees as well as on-going training for all employees and managers. Present training to all staff
  • Monitor the performance of the Compliance Program and related activities on a continuing basis, taking appropriate steps to improve its effectiveness.
  • Review all external marketing materials for compliance with relevant laws and regulations.
  • Prepare routine representative submissions to MAS and other regulatory agencies as required
  • Prepare and review submissions to regulatory agencies, whether regular or ad-hoc requests
  • Perform any other compliance related duties as required under OANDA Asia Pacific’s licensing

Qualifications – Essential

  • 7 -10 years relevant compliance experience
  • Demonstrate a good understanding of the local regulations related to the CFD and Margin FX industry.
  • Excellent verbal and written communications skills
  • Detail oriented, independent, inquisitive in nature, reliable and resourceful

Qualifications - Desirable

  • Analytical skills along with ability to research variety of resources
  • Problem-solving skills with capacity to bring problems to resolution
  • Strong initiative
  • Team player
  • Diplomacy and tact

http://jobs.oanda.com/#jobs/compliance-officer-asia-pacific