Compliance Officer

Capital.com

Compliance Officer building compliance frameworks for the trading platform Capital.com in Japan. Overseeing regulatory adherence and internal controls in a rapidly expanding market.

Posted 6/15/2026full-timeTokyo • 🇯🇵 JapanMid-LevelSeniorWebsite

About the role

Key responsibilities & impact

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

What you’ll need

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).

Benefits

Comp & perks

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.

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance policy frameworkinternal control rulescustomer due diligencetransaction monitoringsuspicious transaction reportstrade surveillanceinternal compliance trainingaccount-opening reviewdispute resolutionregulatory filings

Soft Skills

communicationorganizationaltraining deliverycollaborationproblem-solving

Certifications

Internal Control Manager qualification (Japan Securities Dealers Association)Internal Control Manager qualification (The Financial Futures Association of Japan)