Japan Broker-Dealer Compliance Associate
Supports regulatory compliance, AML/CFT, audits, risk assessments, and securities back-office operations for Alpaca Japan. The role requires at least three years of Japanese securities-firm experience and business-level Japanese and English proficiency.
About the job
Responsibilities
- Support regulatory filings, reports, and communications with the Financial Services Agency, Kanto Regional Finance Bureau, Japan Securities Dealers Association, and other regulatory authorities.
- Support and improve internal compliance operations and related processes.
- Perform AML/CFT, customer due diligence, transaction monitoring, and other compliance-related operational tasks.
- Maintain and update internal policies, procedures, and operational manuals.
- Assist with regulatory and risk assessments for new products, services, and business processes.
- Coordinate internal responses and regulatory reporting for incidents such as system failures.
- Collaborate with internal departments and global group companies on compliance and operational initiatives.
- Support internal and external audits and follow-up remediation projects.
- Assist with the oversight and monitoring of Financial Instruments Intermediary businesses.
- Provide support for back-office functions as the business grows.
Requirements
- Business-level proficiency in both Japanese and English.
- At least 3 years of back-office operations experience at a securities firm in Japan, including compliance, operations, trade operations or transaction management, AML/CFT, corporate or administrative functions, or related securities back-office work.
- A proactive, collaborative approach.
- Ability to adapt to change and take on new responsibilities in a fast-paced environment.
- Strong organizational skills and the ability to prioritize multiple tasks.
Nice-to-Haves
- Practical compliance experience.
- Experience communicating with the Financial Services Agency, Regional Finance Bureau, Japan Securities Dealers Association, or other regulatory authorities.
- Experience leading operational improvement or process enhancement projects.
- Interest in fintech and securities trading systems.
- Japan Type I Sales Representative and Internal Control Manager qualifications; candidates without these qualifications will be required to obtain them after joining.
- Experience working in a startup or small-team environment.
Compensation and Benefits
- Competitive salary and stock options.
- Health benefits.
- One-time USD $500 new-hire home-office setup benefit.
- USD $150 monthly stipend via a Brex Card.
Work Conditions
- Full-time employment.
- Standard business hours, with occasional early-morning or evening meetings to collaborate with global teams.
- Primarily remote within Japan, with occasional in-person engagements for regulatory authorities or clients.
Skills
Aml/Cft, Customer Due Diligence, Transaction Monitoring, Regulatory Reporting, Compliance Operations, Risk Assessment, Internal Audits, Financial Services Regulation, Trade Operations, Process Improvement
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