Senior Compliance Officer, Japan at StoneX Group

Tokyo, Tokyo, Japan -

Full Time

Start Date

Immediate

Expiry Date

26 Jan, 26

Salary

0.0

Posted On

28 Oct, 25

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance Advisory, Regulatory Compliance, Financial Crime Compliance, Regulatory Reporting, Compliance Monitoring, Communication Skills, Attention to Detail, Problem Solving, Adaptability, Collaboration, Leadership, Japanese Language, English Language, Knowledge of Regulations, Internal Control, Professional Certification

Industry

Financial Services

Description

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

Responsibilities

The Senior Compliance Officer will provide compliance advisory, regulatory compliance, financial crime compliance, regulatory reporting, and compliance monitoring. They will also prepare reports for regulators and ensure effective measures are in place to identify and mitigate compliance risks.