Japan Broker-Dealer Compliance Associate (Japan Based / Japanese Language Required)
Core
Support regulatory filings, compliance operations, and back-office functions for a US-headquartered fintech's Japanese subsidiary.
Role type
Compliance Associate (Securities Back-Office)
Builds
API-based securities trading infrastructure and account management services for financial institutions
Domain
Financial Services / Securities / Fintech
Deliverable
client delivery | dashboards & analysis
Required skills
Regulatory reporting, AML/CFT, Customer Due Diligence, Transaction Monitoring, Policy maintenance, Risk assessment, Audit support, Cross-functional collaboration
Preferred skills
Regulatory authority communication, Process improvement, Fintech systems knowledge, Startup environment experience
Technologies
N/A
Responsibilities
Support regulatory filings with FSA, Kanto Regional Finance Bureau, and JSDA; Perform AML/CFT and transaction monitoring; Maintain internal compliance policies and procedures; Assist in risk assessments for new products; Coordinate incident responses; Support internal and external audits.
Seniority
Mid-level, hands-on IC