Compliance Officer

Responsibilities

• 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

• 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).

Preferred

• Experience with the registration process for a new Type I Financial Instruments Business.
• AML qualifications such as CAMS (Certified Anti-Money Laundering Specialist).
• Deep understanding of derivative products (FX and CFDs).