Class: Full-time AND Permanent

Legal Entity: StoneX Securities Co. Ltd.

Report to: 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 :

Compliance: StoneX manages its compliance, regulatory, financial crime and reputational risks by ensuring adherence to laws and regulations, developing and implementing policies and procedures, monitoring changes in regulations, advising businesses, managing audits and inquiries, conducting training, surveillance and compliance testing, with the use of digital platforms and technology where available.  StoneX’s APAC headquarters is in Singapore, which oversees its offices in Australia, China, Hong Kong, India and Japan.

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.

To land this role you will need:

• Minimum 5 years of compliance experience or compliance-related experience in Securities companies (foreign and/or domestic) or 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 business 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

Education / Certification Requirements:

• University Degree in Law, Business or Economics or related fields
• Internal Control Administrator or Manager qualifications issued by JSDA or FFAJ
• Professional certification in compliance is advantageous

Working environment:

• Hybrid (1-day WFH, 4 days in office)
• Support from APAC Compliance Team

#LI-Hybrid #LI-KV1