Compliance Officer

📋 Description

• Develop and maintain policy framework and internal controls for Type I Financial Instruments.
• Handle filings, reports, and inspections with regulators and SROs.
• Build CDD/EDD framework, run transaction monitoring, and file STRs.
• Conduct trade surveillance for insider trading and deliver compliance training.
• Review advertising and sales materials for compliance with the Financial Instruments and Exchange Act.
• Establish and operate account-opening review and customer management framework.

🎯 Requirements

• 3+ years of hands-on compliance at securities firm/FX/CFD/crypto.
• Experience building internal rules and internal control frameworks.
• Internal Control Manager qualifications for JSDA and The Financial Futures Association of Japan.
• Knowledge of FIEA, AML/Proceeds of Crime, Personal Information Protection, and My Number Act.
• English proficiency to work with group-wide compliance policies.
• Preferred: Type I registration experience; CAMS; FX/CFD derivatives.

🎁 Benefits

• Competitive Salary
• Work-Life Harmony
• Generous Time Off
• Employee Referral Program
• Comprehensive Health & Pension Benefits
• Workation Wonderland: 30 extra days to work remotely