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)
#LI-Hybrid #LI-KV1
-
Tokyo StoneX Group Full time￥400,000 - ￥1,200,000 per yearClass: Full-time AND Permanent. Engage in a deep variety of business-critical activities that keep our company running efficiently. · Provide compliance advisory, regulatory compliance, financial crime compliance, regulatory reporting and compliance monitoring · Prepare and file ...
-
Tokyo, Japan StoneX ￥4,000,000 - ￥8,000,000 per yearSenior Compliance Officer will provide compliance advisory, regulatory compliance, financial crime compliance, regulatory reporting and compliance monitoring. The role requires minimum 7 years of retail compliance experience in on-line internet FX & Securities companies regulated ...
-
Tokyo, Tokyo StoneX Group Inc. ￥4,000,000 - ￥12,000,000 per yearSenior Compliance Officer role at StoneX Securities Co. Ltd. in Japan involves providing compliance advisory, regulatory compliance, and financial crime compliance. The job requires a minimum of 7 years of retail compliance experience and knowledge of Japan regulations. · Provide ...
-
Tokyo BlackRock Full time￥4,000,000 - ￥6,000,000 per yearThe Junior Compliance Officer plays a vital role in supporting the organization's compliance framework, focusing on regulatory reporting and filing, marketing material review, and employee compliance. · Maintain up-to-date knowledge of reporting requirements from regulatory bodie ...
-
Tokyo Rocket Now ￥15,000,000 - ￥25,000,000 per yearOur corporate mission is to deliver a 'wow experience' to customers. Rocket Now launched a delivery platform with no delivery fees or service charges to ease the burden on customers who use the food delivery service. · Rocket Now is deeply committed to pioneering the future of Ja ...
-
Tokyo Colliers Full time￥2,500,000 - ￥5,000,000 per yearコリアーズは、ナスダックおよびトロント証券取引所に上場する、事業用不動産サービス、エンジニアリングコンサルティング、投資運用を専門とする、世界有数の大手総合プロフェッショナルサービス会社です。世界70か国で事業を展開し、24,000人のエンタープライズ精神に富んだプロフェッショナルが、クライアントに卓越したサービスと専門的なアドバイスを提供しています。 · また、当社株式を保有する経験豊富な経営陣は、約30年間にわたり、年間約20%の複利ベースの投資収益率を株主に提供してきました。年間収益は55億ドル、運用資産は1,080億ドルに達しています。コリアーズ ...
-
Tokyo Colliers Full time￥3,600,000 - ￥4,800,000 per yearコリアーズは、ナスダックおよびトロント証券取引所に上場する、事業用不動産サービス、エンジニアリングコンサルティング、投資運用を専門とする、世界有数の大手総合プロフェッショナルサービス会社です。世界70か国で事業を展開し、24,000人のエンタープライズ精神に富んだプロフェッショナルが、クライアントに卓越したサービスと専門的なアドバイスを提供しています。 · また、当社株式を保有する経験豊富な経営陣は、約30年間にわたり、年間約20%の複利ベースの投資収益率を株主に提供してきました。年間収益は55億ドル、運用資産は1,080億ドルに達しています。コリアーズ ...
-
Tokyo Colliers Full time￥900,000 - ￥1,200,000 per yearコリアーズは、ナスダックおよびトロント証券取引所に上場する、事業用不動産サービス、エンジニアリングコンサルティング、投資運用を専門とする、世界有数の大手総合プロフェッショナルサービス会社です。世界70か国で事業を展開し、24,000人のエンタープライズ精神に富んだプロフェッショナルが、クライアントに卓越したサービスと専門的なアドバイスを提供しています。 · 募集背景:業容拡大のため人員増強です · 業務内容: · ・売買仲介、賃貸仲介の重要事項説明書のチェック · ・秘密保持誓約書、業務委託契約書等の契約書類のチェック · ・不動産信託受益権取引の契約締 ...
-
Tokyo FCM Travel Asia ￥900,000 - ￥1,200,000 per yearSenior Events Managerは、FCMの Meetings & Events部門で、クライアントとの関係を構築・維持し、必要に応じて財務、オペレーション、プロダクト、人事などの社内部門と連携して、クライアントの課題を解決します。 · クライアントとの関係を構築・維持し、必要に応じて財務、オペレーション、プロダクト、人事などの社内部門と連携して、クライアントの課題を解決します。 · クライアントのニーズを理解し、クライアントに価値を提供し、会社の利益目標を達成するために常に利益を創り出すことを考え、サプライヤーやベンダーと信頼関係を築き、連携 ...
-
Japan Office Manager
2ヶ月前
Japan Huatai International Financial Holdings Company Limited Full timeManage office establishment, day-to-day administration, HR tasks, and ensure compliance with Japanese labor laws and regulations. · Manage office establishment including lease negotiations, office supplies, equipment maintenance, IT infrastructure setup, and vendor procurement · ...
-
Tokyo WPP ￥4,000,000 - ￥8,000,000 per yearWe are seeking a Senior Activation Executive to join our team in Tokyo. As a Senior Activation Executive, you will be responsible for planning and executing programmatically bought media plans, across paid search, biddable display, paid social and emerging biddable platforms. You ...
-
Tokyo WPP Full time￥5,000,000 - ￥10,000,000 per yearAs a Paid Social Senior Account Executive, you will be contributing to the execution of paid social media activity, building strong platform knowledge & supplier relationships to begin to autonomously deliver flawless testing and media plans, optimization, and analysis. · Effecti ...
-
Tokyo Boston Consulting Group Full time￥20,000,000 - ￥25,000,000 per yearSenior IT Architect will be responsible for designing and implementing digital transformation strategies, leading cross-functional teams, and collaborating with clients to deliver business value. · Design and implement digital transformation strategies · Lead cross-functional tea ...
-
Tokyo CLSA ￥8,000,000 - ￥15,000,000 per yearPrimarily responsible for advising, monitoring, and overseeing the equity and derivatives business, supervising compliance testing, risk inventory maintenance, and risk assessment, managing information control in general, including personal data, transactional data, and other pro ...
-
Tokyo CLSA Full time￥7,400,000 - ￥12,060,000 per year+Senior Compliance Officer will advise monitor oversee equity derivatives business supervise compliance testing risk inventory maintenance risk assessment manage information control assist different lines of business cross selling products providing advice laws regulations creati ...
-
Tokyo Rotary InternationalThis position works with the financial supervisor in areas of accounts receivable from clubs, districts and individual Rotarians for both RI and TRF financial transactions and internal accounting operations. · Review contribution forms, RI dues, and other payments with bank state ...
-
Tokyo Jobs via eFinancialCareers ￥10,000,000 - ￥20,000,000 per yearWe are looking for a Senior Compliance Officer to lead compliance efforts in our brokerage operations in Japan. This key role involves planning, working with regulators, and managing risks. You will report to the Head of Compliance and need to ensure we meet Japanese regulatory s ...
-
Tokyo Specialized Group ￥5,000,000 - ￥10,000,000 per yearWe are looking for a Senior Compliance Officer to lead compliance efforts in our brokerage operations in Japan. This key role involves planning, working with regulators, and managing risks. You will report to the Head of Compliance and need to ensure we meet Japanese regulatory s ...
-
Tokyo Tanium Full time￥900,000 - ￥1,350,000 per yearThe Tanium Talent Acquisition Team is hiring a Senior Recruiter to own hiring activity with a primary focus on supporting Go-To-Market (Sales) recruiting in Japan. · ...
-
Japan SAP $100,000 - $200,000 per yearWe help the world run better at SAP. Our company culture is focused on collaboration and a shared passion to help the world run better. · At SAP, we enable you to bring out your best. · Develop a comprehensive enterprise architecture model for our customers aligning with their en ...
-
Tokyo, Tokyo Worldpay $120,000 - $240,000 per yearWe're looking for a Compliance Analyst to join our ever evolving Legal, Risk, Compliance & Audit team to help us unleash the potential of every business. · ...
