Japan Broker-Dealer Compliance Associate (Japan Based

About the role

Alpaca Japan, a registered Type I Financial Instruments Business Operator, is seeking a bilingual Compliance Associate. This role supports regulatory filings, back-office operations, and process improvements for our growing securities trading infrastructure business. You will collaborate with global teams and gain experience in Japan's financial industry.

Key facts

What you'll do

• Assist with regulatory submissions and communications to the Financial Services Agency (FSA), Kanto Regional Finance Bureau, and Japan Securities Dealers Association (JSDA).
• Support and enhance internal compliance procedures and operational workflows.
• Conduct Anti-Money Laundering (AML) and Counter-Terrorist Financing (CFT) checks, customer due diligence, and transaction monitoring.
• Update and maintain internal compliance policies, procedures, and operational manuals.
• Help assess regulatory and risk aspects of new products, services, and business processes.
• Coordinate internal responses and reporting for incidents like system failures.
• Work with internal departments and international group companies on compliance and operational projects.
• Support internal and external audits and subsequent remediation efforts.
• Assist in overseeing and monitoring Financial Instruments Intermediary businesses.
• Provide support for various back-office functions as the business expands.

Requirements

• Business-level fluency in both Japanese and English.
• A minimum of 3 years of experience in back-office operations at a Japanese securities firm, including areas such as compliance, operations, trade management, AML/CFT, or administrative functions.
• A proactive approach to work and the ability to collaborate effectively with colleagues.
• Adaptability to change and a willingness to take on new responsibilities in a fast-paced setting.
• Strong organizational skills with the capacity to manage and prioritize multiple tasks.

Nice to have

• Practical experience in compliance roles.
• Prior experience interacting with regulatory bodies like the FSA, Regional Finance Bureau, or JSDA.
• Experience leading operational improvement or process enhancement projects.
• An interest in fintech and securities trading systems.
• Possession of Japan Type I Sales Representative and Internal Control Manager qualifications (candidates without these will be expected to obtain them post-hire).
• Previous experience working in a startup or small team environment.

Skills & tools

• Japanese language proficiency
• English language proficiency

Practical notes

• Standard business hours, with occasional early morning or evening meetings to align with global teams.
• Primarily remote work, with occasional in-person requirements for regulatory or client meetings.
• Competitive salary and stock options.
• Health benefits.
• Home-office setup stipend: $500 USD one-time.
• Monthly stipend: $150 USD per month via Brex Card.