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Compliance and Assurance Analyst, Gurgaon

Reports to-      Director of Risk and Assurance/ OC- Manager of Compliance

Position Overview

Audit: The analyst works with other members in the risk and assurance team and performs various assigned tasks to enable completion of planned audit assignments across various departments within OANDA.

Compliance: The analyst is responsible for analyzing, monitoring and reporting compliance related account discrepancies. This includes managing and monitoring compliance reports, identifying operational issues and analyzing and reporting overall assessment activities.

Responsibilities include


  • Perform assigned audit activities to support completion of planned audit engagements
  • Conduct file verifications to confirm that files contain complete and up-to-date information as required under AML/ Know Your Customer (KYC) and EDDs (Enhanced Due Diligence) requirements for existing and new customers
  • Complete file reviews to ensure completion of various internal and external compliance requirements
  • Conduct specific investigations and help in implementing risk mitigation and internal control practices


  • Execute daily, weekly and monthly monitoring processes to review client account activities to align with OANDA’s compliance guidelines
  • Highlight unusual activities within client accounts; report any trends or fraud concerns to the OC- Compliance Manager or Director of Risk as required
  • Prepare weekly reporting on monitoring activities to Compliance and collaborate with NA, CCM and CX (Front Office Teams) as required
  • Respond to CFTC client data requests
  • Perform other similar tasks as may be assigned by Manager- Compliance from time to time


  • Accounting or business graduate (B. Com/ BBA etc.)

Other skills and experience

  • 2-4 years of experience gained through increasingly responsible positions preferably within a compliance, audit or risk management environment
  • Ability to analyze and interpret data, draw conclusions and make recommendations
  • An independent, self-directed individual who is not afraid to make recommendations to develop, execute and deliver on an assigned strategy
  • Possesses business judgement to resolve exceptions quickly and responsibly
  • Positive attitude, flexible nature, thriving in a fast-paced, constantly changing environment
  • Receptive to coaching and feedback to enhance performance to meet goals
  • A highly detailed individual with the ability to multitask and adhere to deadlines while managing multiple work flows and tasks
  • Ability to cultivate meaningful relationships and work effectively with cross-functional teams while remaining decisive and displaying sound judgment