Japan Broker-Dealer Legal & Compliance Manager

AlpacaRemote - Tokyo, Japan5h ago

<div class="content-intro">Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our <a href="https://alpaca.markets/blog/alpaca-raises-150-million-at-a-1-15b-valuation-to-build-the-global-standard-for-brokerage-infrastructure/">recent Series D funding round</a> brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator.   Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply.</div>Your Role:  AlpacaJapan is the Japan subsidiary of a U.S.-based fintech company and is registered as a Type I Financial Instruments Business Operator. We build API-based securities trading infrastructure and support financial institutions offering U.S. stock trading through order routing to our U.S. broker-dealer group company. We also provide account opening and management services for Financial Instruments Intermediary businesses. To support our rapidly growing business in Japan, we are seeking a bilingual Legal& Compliance Manager (Japanese and English). This role will serve as a core member supporting Alpaca Japan’s compliance framework. In addition to ensuring regulatory compliance and coordinating with authorities, the successful candidate will proactively engage in a wide range of initiatives, including business-process improvement projects and legal assessments for new business opportunities. This position requires close collaboration with our global group entities. We particularly welcome candidates with experience not only in domestic securities operations but also in startup environments or international collaboration. Key Responsibilities: <ul> <li>Handle regulatory communications and filings with authorities such as the Financial Services Agency (FSA) and the Japan Securities Dealers Association (JSDA), including responses to inquiries.</li> <li>Coordinate internal communication and submit necessary reports to authorities in the event of system failures and other incidents.</li> <li>Provide legal and regulatory review and guidance to internal departments, including Sales, Product Development, and Operations.</li> <li>Conduct customer due diligence and risk assessments for new business models and initiatives.</li> <li>Liaise with external legal advisors as necessary.</li> <li>Lead remediation projects addressing findings from internal or external audits.</li> <li>Oversee internal policy governance and help enhance internal risk management systems and operational workflows.</li> <li>Collaborate with the U.S. parent company and other group entities to establish and maintain a consistent global risk management framework.</li> <li>Plan and deliver training programs to raise compliance awareness among employees and financial instruments intermediary agents.</li> <li>Monitor and inspect the operations of Financial Instruments Intermediary businesses to ensure compliance.</li> <li>Perform compliance checks and ongoing monitoring of transactions for anti-money laundering and related risks.</li> </ul> Qualifications (required): <ul> <li>Business-level fluency in both Japanese and English</li> <li>3+ years of experience in legal or compliance roles at a securities firm in Japan</li> <li>Experience in at least two of the following areas:</li> <ul> <li>Communicating and filing reports with regulatory authorities as part of a legal or compliance team</li> <li>Performing transaction monitoring and customer review (e.g., AML, trade surveillance) as part of a transaction management team</li> <li>Reviewing contracts from a legal perspective</li> <li>Supporting board of directors and shareholder meeting procedures as part of legal operations</li> <li>Drafting and maintaining internal policies and corporate rules</li> </ul> <li>Understanding of regulatory reporting and risk management frameworks</li> <li>Strong communication skills and ability to collaborate effectively with both domestic and global teams</li> <li>Ability to work independently in a fast-paced environment, manage multiple responsibilities, and prioritize tasks proactively</li> <li>Passed the Japan Type I Sales Representative Exam or the Internal Control Manager Qualification Exam (Note: If only the Type I exam has been passed, the internal control manager qualification must be obtained after joining)</li> </ul> Qualifications (preferred):   <ul> <li>Experience working in startups or small teams</li> <li>Interest and flexibility to support a wide range of business functions, including general affairs, operations management, and sales support</li> </ul> Work Conditions: <ul> <li>Full-time employee</li> <li>The position is primarily remote, though occasional in-person engagements may be required for meetings with regulatory authorities or clients</li> </ul>   職種名: 証券部門、法務・コンプライアンスマネージャー 職務概要: AlpacaJapanは、米国発のフィンテック企業の日本子会社で、関東財務局長（金商）第3024号として登録されている第一種金融商品取引業者です。APIベースの証券取引基盤テクノロジーの提供に加え、米国証券取引を提供する金融機関向けに、グループ企業である米国証券会社への注文取次ぎや、金融商品仲介事業者向けに証券口座開設・管理などのサービスを提供しています。今回、拡大する日本でのビジネスを支えるため、日英バイリンガルの法務・コンプライアンスマネージャーを募集します。 当ポジションは、Alpaca Japanの法務およびコンプライアンス体制を支える中核メンバーとして、法令遵守や当局対応に加え、業務改善プロジェクトや新規ビジネスの適法性確認など、幅広いテーマに主体的に取り組んでいただくポジションです。 米国の親会社および関連企業のグローバルチームとの連携も発生するため、国内証券業務の経験に加え、スタートアップ環境や国際的なコラボレーションの経験がある方を特に歓迎します。 主な業務内容: <ul> <li>金融庁、関東財務局や日本証券業協会（JSDA）等の監督官庁等への対応業務（報告・届出、照会対応等）</li> <li>インシデント（システム障害等）発生時の社内連携および当局への報告業務</li> <li>営業・プロダクト開発・管理部門を含む、社内の各部署に対する法令面からの助言・審査（契約書審査を含む）</li> <li>顧客審査や新規ビジネスモデルのリスク評価</li> <li>外部顧問弁護士への照会</li> <li>監査指摘事項の改善プロジェクト推進</li> <li>社内規程類の管理を含む、社内のリスク管理体制・業務フローの整備</li> <li>海外の親会社およびグループ会社と連携し、グローバルで一貫したリスク管理体制の構築</li> <li>社員および金融商品仲介業者のコンプライアンス意識向上のための研修の企画・実施</li> <li>金融商品仲介業者の業務におけるコンプライアンス確保のための業務（業務モニタリングや検査等）</li> <li>取引管理部門として、マネーロンダリング等に関するモニタリング、顧客との取引状況におけるコンプライアンス確保に関する業務</li> </ul>   応募資格: ＜必須＞ <ul> <li>日本語および英語での業務遂行が可能な方</li> <li>証券会社での法務・コンプライアンス業務経験（3年以上）</li> <li>以下の経験のうち、少なくとも2つ以上の経験を有すること</li> <ul> <li>法務・コンプライアンス部門として、行政当局との折衝対応および各種報告書の提出経験</li> <li>取引管理部門としてマネーロンダリングや売買審査等の顧客取引の管理業務</li> <li>法務部門として契約書審査の経験</li> <li>法務部門として会社の意思決定にかかる株主総会・取締役会の議事運営の経験</li> <li>法務部門として社内規程整備の経験</li> </ul> <li>リスク管理体制、当局対応に関する理解</li> <li>日本の他部門およびグローバルのチームメンバーと円滑に連携できる、優れたコミュニケーション能力</li> <li>自ら優先順位をつけてマルチタスクをし、スピード感を持って自律的に業務を遂行できる能力</li> <li>一種外務員試験または内部管理責任者資格試験のいずれかに合格済であること（一種外務員試験のみ合格の場合、入社後に内部管理責任者資格を取得していただきます。）</li> </ul> ＜あると望ましい＞ <ul> <li>スタートアップや少人数チームでの業務経験</li> <li>総務、業務管理、営業支援など幅広い業務に関心を持ち、積極的にサポートいただける方</li> </ul> 言語: <ul> <li>日本語および英語の両方で業務遂行が可能な方</li> </ul> 勤務条件: <ul> <li>正社員</li> <li>定時勤務が基本だが、グローバルチームとの連携のため早朝または夜間の会議が発生するケースあり</li> <li>日本国内よりリモート勤務。当局や顧客への対応のため対面業務が生じる可能性あり</li> </ul><div class="content-conclusion"><h3>How We Take Care of You:</h3> <ul> <li style="font-weight: 400; text-align: justify;">Competitive Salary & Stock Options</li> <li style="text-align: justify;">Health Benefits</li> <li style="font-weight: 400; text-align: justify;">New Hire Home-Office Setup: One-time USD $500</li> <li style="font-weight: 400; text-align: justify;">Monthly Stipend: USD $150 per month via a Brex Card</li> </ul> Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce. <a href="https://files.alpaca.markets/disclosures/AlpacaRecruitmentPrivacyPolicy.pdf">Recruitment Privacy Policy</a></div>