Japan Broker-Dealer Compliance Associate
Alpaca is a brokerage infrastructure company providing developer APIs for stocks, options, fixed income, and crypto trading, plus tokenization infrastructure for TradFi–DeFi markets.
Maintainer signals as of 9/2/2026
Funding history
Investors
About Alpaca
Alpaca provides API-first brokerage infrastructure for fintechs, institutions, algorithmic traders, and developers. Its offerings include Broker API, Trading API, market data, self-clearing brokerage services, crypto services, and the Instant Tokenization Network for in-kind minting and redemption of tokenized assets.
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
Support compliance and securities back-office functions for Alpaca Japan, including regulatory filings, AML/CFT and transaction monitoring, policy maintenance, risk assessments, incident response, audits, and oversight of Financial Instruments Intermediary businesses. The role collaborates with global teams and supports 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 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 and Internal Control Manager qualifications, or willingness to acquire them 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 a Brex Card
- Remote work
