Compliance Specialist

Who We Are

We are one of the most experienced brokerage house in Poland, offering financial services based on information technology (FinTech). We provide investors with intuitive tools to trade in stocks and financial instruments based on currencies, commodities, stock indices, stocks and cryptocurrencies. Thanks to the OANDA TMS Brokers S.A. mobile application, investments in global markets are always at hand!

TMS is part of OANDA group, an award-winning global company offering currency solutions to individual and corporate clients who range from tech start-ups to global corporations.

Opportunity:

We are looking for a Compliance Specialist to join the TMS Warsaw office (Oanda Group). By joining us, you will gain an interesting experience in the Compliance Department and broaden your expertise in trading in financial instruments.

Responsibilities include:  

• Identification, assessment, and monitoring of all non-compliance risks of TMS activities,
• AML risk recognition, problem solving with maximum attention to detail,
• Consultancy and ongoing assistance to the Management Board and other stakeholders in fulfilling their obligations in accordance with the law governing the conduct of brokerage activities,
• Monitoring changes in applicable legal regulations,
• Fulfilling reporting obligations,
• Communication with the Polish Financial Supervision Authority (KNF) and other competent institutions,
• Supervision over ensuring compliance of the activities of TMS Brokers with the provisions on counteracting money laundering and financing of terrorism,
• Customer complaints management – monitoring, answering to complaints, process handling, data analyzing to ensure that all threats are detected and remedied,
• Conducting internal training,
• Conducting internal controls,
• Supervision over the flow of confidential information and information constituting professional secrecy and securing access to them,
• Supervision over transactions by persons involved with TMS, including keeping an appropriate register and other activities specified in internal regulations in the above scope,
• Preparation of instructions, policies, and internal procedures of TMS
• Processing customer requests to change to experienced or professional statuses 

Qualifications:

• University Graduate in Law
• Good knowledge of AML/MIFID II, EMIR, MIFIR, PSD2, MAR provisions 
• Minimum 2 years of experience in financial institution or a law firm specializing in capital market law in Poland

• Minimum of 1 year of experience in the AML area
• Basic knowledge of financial instruments

• Advanced level of communication - read/speak/write in Polish and English
• Ability to analyze and interpret data, draw conclusions, and make recommendations,
• Independence and self – direction with capability to managing multiple workflows and tasks and make own decisions
• Positive attitude, flexible nature, thriving in a fast-paced, constantly changing environment

OANDA Global Corporation is a diverse and global team with offices around the world. We value the unique skills and experiences each individual brings to OANDA. We are committed to creating and sustaining a collegial work environment in which all individuals are treated with dignity and respect and one which reflects the diversity of the community in which we operate. We provide an inclusive and accessible environment for everyone. Candidates selected for an interview will be contacted directly. If you require accommodation during the recruitment and selection process, please let us know. We will work with you to provide as seamless a recruitment experience as possible.