Senior Compliance Officer, Japan

Overview

Class: Full-time AND Permanent

Legal Entity: StoneX Securities Co. Ltd.

Report to: Acting Head of Compliance, Japan

Company Overview:

In Japan, StoneX Securities Co., Ltd. (“SSJ”) is regulated by the Japanese Financial Services Agency (FSA) as a Type-I Financial Instruments Business Operator (Kanto Local Finance Bureau (FIBO) No.291), is a member of the Financial Futures Association of Japan (FFAJ) for dealing and broking FX and FX Option transactions, and is a member of the Japan Securities Dealers Association (JSDA) for dealing and broking stock indices and option transactions.

Business Segment Overview :

Corporate: Engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you’ll have the opportunity to optimize processes and implement game-changing policies.

Responsibilities

Primary Duties Will Include:

Carry out the following duties under the supervision of the Head of Compliance:

• Provide compliance advisory, regulatory compliance, financial crime compliance, regulatory reporting and compliance monitoring
• Prepare and file reports with regulators, review licensing and compliance issues on businesses, as well as liaise with internal and external auditors
• Review advertisements and marketing materials
• Perform compliance surveillance on communications and transactions
• Administer central compliance controls and systems, and ensure effective measures are in place to identify, assess and mitigate compliance risks
• Update policies, procedures and controls to meet regulatory requirements
• Prepare annual compliance plan for approval and implementation together with compliance monitoring program
• Collaborate with stakeholders in business units, senior management and regional compliance

*The list of duties is not exhaustive and can include other duties that management deems necessary.

Qualifications

To land this role you will need:

• Minimum 7 years of retail compliance experience in on-line internet FX & Securities companies regulated by FSA and member of JSDA/ FFAJ
• Knowledge of Japan regulations on retail dealing and brokerage– especially on foreign exchange (FX), stock index CFDs, knockout options and over-the-counter (OTC) derivatives transactions – including FIEA, FEFTA & AML legislations
• Strong communication skills in Japanese and English language (spoken and written)
• Global mindset and culturally sensitive to work in local and international environment
• Attention to detail, pro-active, hands-on approach to problem solving
• Adaptable, collaborative, trustworthy leader and team player
• University Degree in Law, Business or Economics or related fields
• Internal Control Administrator qualifications issued by JSDA or FFAJ
• Professional certification in compliance is advantageous

Working Environment:

• Hybrid (1-day WFH, 4 days in office)

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