Japan Broker-Dealer Compliance Associate (Japan Based / Japanese Language Required)

Japan Broker-Dealer Compliance Associate (Japan Based / Japanese Language Required)

Your Role: Alpaca Japan is the Japanese subsidiary of a U.S.-based fintech company and is registered as a Type I Financial Instruments Business Operator. We provide API-based securities trading infrastructure and support financial institutions offering U.S. stock trading through order routing to our U.S. broker-dealer group company. We also provide account opening and management services for Financial Instruments Intermediary businesses.

To support our rapidly growing business in Japan, we are seeking a bilingual Compliance Associate with business-level proficiency in both Japanese and English.

In this role, you will support a broad range of compliance and securities back-office functions, while also contributing to operational improvements and new business initiatives. As part of a small, fast-growing team, you will have the opportunity to work across multiple functions and take ownership beyond your core responsibilities. We are looking for someone who enjoys identifying challenges, proactively driving improvements, and collaborating with colleagues across the organization.

This position works closely with our global teams, providing opportunities to gain international experience in addition to developing expertise in Japan's securities industry.

Key Responsibilities: Support regulatory filings, reports, and communications with the Financial Services Agency (FSA), Kanto Regional Finance Bureau, the Japan Securities Dealers Association (JSDA), 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 in 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 a variety of back-office functions as the business continues to grow.

Qualifications (required): Business-level proficiency in both Japanese and English.

At least 3 years of experience in back-office operations at a securities firm in Japan, such as:

Compliance Operations Trade Operations / Transaction Management

AML/CFT Corporate or administrative functions

Alpaca is hiring for this role on CareerPlace.

Apply on the company website through Alpaca.

Imported from employer careers page. Source ref: 84bd24b0e9ee.