Japan Broker-Dealer Compliance Associate

Skills

About the Role

You will support a broad range of compliance and securities back-office functions at Alpaca Japan, a Type I Financial Instruments Business Operator. You will handle regulatory filings and communications with the FSA, Kanto Regional Finance Bureau, and JSDA, perform AML/CFT and transaction monitoring tasks, and maintain internal policies and manuals. You will assist with regulatory and risk assessments for new products, coordinate incident responses, support audits, and oversee Financial Instruments Intermediary businesses. You will work closely with global teams, gain international experience, and take ownership of operational improvements in a small, fast-growing team.

Requirements

• Business-level proficiency in both Japanese and English
• At least 3 years of experience in back-office operations at a securities firm in Japan
• Proactive mindset with the ability to work collaboratively across teams
• Ability to adapt to change and embrace new responsibilities in a fast-paced environment
• Strong organizational skills with the ability to prioritize multiple tasks effectively
• Preferred: practical experience in compliance
• Preferred: experience communicating with the FSA, Regional Finance Bureau, JSDA, or other regulatory authorities
• Preferred: experience leading operational improvement or process enhancement projects
• Preferred: interest in fintech and securities trading systems
• Preferred: Japan Type I Sales Representative qualification and Internal Control Manager qualifications (or willingness to acquire after joining)
• Preferred: experience working in a startup or small team environment

Responsibilities

• Support regulatory filings, reports, and communications with the FSA, Kanto Regional Finance Bureau, 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

Benefits

• Stock options
• Health benefits
• One-time USD $500 home-office setup stipend
• Monthly USD $150 stipend via Brex Card
• Remote work