Head of Compliance
株式会社メタプラネット証券は、メタプラネットの100%子会社である第一種金融商品取引業者です。社債を中心に、ビットコイン関連商品やデジタル証券などの組成・提供を目指す金融プラットフォームを運営しています。
Funding history
Investors
Projects
About 株式会社メタプラネット証券
株式会社メタプラネット証券は、ビットコイン保有企業である株式会社メタプラネットのBTC運用ノウハウと資本市場アクセスを活用し、日本の個人投資家に金融商品を提供する証券会社です。独自の社債プラットフォームを通じて、成長企業と個人投資家をつなぎ、少人数私募社債、既発債、定期換金債、いつでも換金債、おまとめ債などを取り扱っています。 同社は第一種金融商品取引業の登録を有し、投資家向けの口座開設、社債の購入・保有・中途換金、企業向けのIR掲載などのサービスを提供しています。今後はBTC関連商品、デジタル証券、ベンチャーデット・社債、インカムゲイン商品などの取り扱いを目指していますが、これらは現時点では未提供または内容未確定です。
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will oversee compliance, internal controls, and regulatory matters for a securities company. You will develop and operate compliance programs, advise on business activities and new projects, manage reviews and monitoring, respond to regulators, and help build a scalable compliance organization.
Requirements
- Knowledge of the Financial Instruments and Exchange Act and Japan Securities Dealers Association rules
- Either a Class 1 Securities Sales Representative qualification and Internal Control Manager qualification, experience in securities-company compliance or internal-control work, or experience responding to audits and inspections by relevant authorities
- Alternatively, experience conducting supervision or inspections of financial instruments business operators at a relevant authority
- Word-centered PC skills
Responsibilities
- Develop and implement the compliance program
- Operate and manage internal compliance training
- Run the compliance committee
- Maintain and revise internal regulations
- Address anti-money-laundering and counter-terrorist-financing measures
- Provide compliance advice on business activities and new projects
- Review advertising
- Verify the appropriateness of underwriting decision processes
- Manage conflicts of interest
- Manage non-public information
- Manage employees’ securities trading
- Manage financial instruments intermediaries
- Manage personal and specific personal information
- Monitor sales activities, investment solicitation, and customer management
- Handle securities incidents
- Respond to regulatory inspections and Japan Securities Dealers Association audits
- Handle applications, notifications, and inquiries with regulators and self-regulatory organizations
- Handle complaints, disputes, and anti-social forces matters
- Build the compliance team and organizational structure
Benefits
- Stock options
- Comprehensive social insurance
- Commuting allowance up to JPY 35,000 per month
- Nearby housing allowance of JPY 30,000 per month
- Nearby relocation assistance up to JPY 50,000
- Medical out-of-pocket cap of JPY 20,000 per case
- Condolence and celebration leave and allowances
- Shorter-hours regular employee program
- Additional childbirth and childcare lump-sum benefit and company celebration payment
- Unlimited remote work, with hybrid work available
- Water server
- Discounts for lodging, leisure, sports, and lifestyle support
- Two-day weekend and public holidays
- Annual paid leave
- Year-end and New Year holidays
- Five special leave days per year
- Five sick leave days per year
Hiring Process
Casual interview (usually online, optionally offline) → one online interview → one-day job visit with practical discussion involving management → offer interview.
