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About the Role
This role involves supporting the compliance function within StoneX Securities Co., Ltd. in Japan, ensuring adherence to regulatory requirements and internal policies. The position offers an opportunity to gain experience in various compliance activities within the financial services industry.
Responsibilities
- Review advertisement and marketing materials
- Conduct Communications Surveillance and Trade Surveillance
- Perform KYC Due Diligence on Customers and Vendors
- Conduct Compliance Monitoring on various matters
- Regulatory reporting for KLFB, FFAJ and JSDA
- Assist in licensing, research, compliance reporting and management information
- Provide Compliance Advisory to Front, Middle and Back Offices
- Update policies, procedures and controls to meet regulatory and financial crime compliance requirements
- Assist in audits, investigations and queries from auditors and regulators
- Participate in digital projects to upgrade compliance systems and platforms
Requirements
- More than 1 year of compliance experience or compliance-related experience in securities companies
- 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
Location
- Japan
Work Type
- Full-Time
- Permanent
- Hybrid
Experience Level
- More than 1 year
Education Level
- University Degree in Law, Business or Economics or related fields
- JSDA Internal Controller/ Sales Manager
About the Company
- In Japan, StoneX Securities Co., Ltd. (“SSJ”) is regulated by the Japanese Financial Services Agency (FSA) as a Type-I Financial Instruments Business Operator.
- SSJ is a member of the Financial Futures Association of Japan (FFAJ) for dealing and broking FX and FX Option transactions.
- SSJ is a member of the Japan Securities Dealers Association (JSDA) for dealing and broking stock and stock indices CFD and option transactions.
- 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.