Junior Compliance Officer

Overview

Class: Full-Time AND Permanent

Legal Entity: StoneX Securities Co. Ltd.

Reports to: Head of Compliance, Japan

Company Overview:

In Japan, StoneX Securities Co., Ltd. (“SSJ”) is regulated by the Japanese Financial Services Agency (FSA) as a Type-I Financial Instruments Business Operator (Kanto Local Finance Bureau (FIBO) No.291), is a member of the Financial Futures Association of Japan (FFAJ) for dealing and broking FX and FX Option transactions, and is a member of the Japan Securities Dealers Association (JSDA) for dealing and broking stock and stock indices CFD and option transactions.

 Business Segment Overview:

Compliance: 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.

Responsibilities

Primary duties will include:

Carry out the following primary duties under the supervision of the Head of Compliance:

• Review advertisement and marketing materials
• Conduct Communications Surveillance and Trade Surveillance (where applicable)
• Perform KYC Due Diligence on Customers and Vendors
• Conduct Compliance Monitoring on various matters (e.g. Large Monies, Personal Account Trading, Communications, Suspicious Trading etc.)
• Regulatory reporting for KLFB,FFAJ and JSDA.
• Assist in licensing, research, compliance reporting and management information
• Assist to provide Compliance Advisory to Front, Middle and Back Offices
• Assist to 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

*The list of duties is not exhaustive and can include other duties that management deems necessary.

Qualifications

To land this role you will need:

• More than 1 years 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

Education / Certification Requirements:

• University Degree in Law, Business or Economics or related fields
• JSDA Internal Controller/ Sales Manager

Working environment:

• 4 days in office, 1 day remote

Notice to Recruitment Agencies: 

Please be advised that any résumé or CV submitted to us without: (i) prior onboarding with StoneX as an approved recruitment partner; and (ii) prior written authorization/instruction from StoneX’s Talent Acquisition Team, will be treated as an unsolicited and unapproved submission.

We may, at our discretion, review and consider such candidates; however, no placement fee, referral fee, or any other form of compensation will be payable to the submitting agency if the candidate is subsequently hired, and regardless of the agency’s involvement.

Submission of a résumé/CV in these circumstances will be deemed acceptance of these terms and these terms supersede any the agency seeks to impose on StoneX.