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
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