[Hiring] Compliance Associate @Alpaca

Role Description

Alpaca Japan is the Japanese subsidiary of a U.S.-based fintech company and is registered as a Type I Financial Instruments Business Operator. We provide 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 Compliance Associate with business-level proficiency in both Japanese and English. In this role, you will support a broad range of compliance and securities back-office functions, while also contributing to operational improvements and new business initiatives. As part of a small, fast-growing team, you will have the opportunity to work across multiple functions and take ownership beyond your core responsibilities. We are looking for someone who enjoys identifying challenges, proactively driving improvements, and collaborating with colleagues across the organization. This position works closely with our global teams, providing opportunities to gain international experience in addition to developing expertise in Japan's securities industry.

Key Responsibilities

• Support regulatory filings, reports, and communications with the Financial Services Agency (FSA), Kanto Regional Finance Bureau, the Japan Securities Dealers Association (JSDA), and other regulatory authorities.
• Support and improve internal compliance operations and related processes.
• Perform AML/CFT, customer due diligence, transaction monitoring, and other compliance-related operational tasks.
• Maintain and update internal policies, procedures, and operational manuals.
• Assist in regulatory and risk assessments for new products, services, and business processes.
• Coordinate internal responses and regulatory reporting for incidents such as system failures.
• Collaborate with internal departments and global group companies on compliance and operational initiatives.
• Support internal and external audits and follow-up remediation projects.
• Assist with the oversight and monitoring of Financial Instruments Intermediary businesses.
• Provide support for a variety of back-office functions as the business continues to grow.

Qualifications

• Business-level proficiency in both Japanese and English.
• At least 3 years of experience in back-office operations at a securities firm in Japan, such as:
  • Compliance
  • Operations
  • Trade Operations / Transaction Management
  • AML/CFT
  • Corporate or administrative functions
  • Or other related back-office functions within a securities firm
• A proactive mindset with the ability to work collaboratively across teams.
• Ability to adapt to change and embrace new responsibilities in a fast-paced environment.
• Strong organizational skills with the ability to prioritize multiple tasks effectively.

Requirements

• Practical experience in compliance.
• Experience communicating with the FSA, Regional Finance Bureau, JSDA, or other regulatory authorities.
• Experience leading operational improvement or process enhancement projects.
• Interest in fintech and securities trading systems.
• Holder of the Japan Type I Sales Representative qualification and Internal Control Manager qualifications (If not yet obtained, candidates will be required to acquire them after joining).
• Experience working in a startup or small team environment.

Work Conditions

• Full-time employee
• Standard business hours, with occasional early morning or evening meetings to collaborate with global teams
• The position is primarily remote, though occasional in-person engagements may be required for meetings with regulatory authorities or clients

Benefits

• Competitive Salary & Stock Options
• Health Benefits
• New Hire Home-Office Setup: One-time USD $500
• Monthly Stipend: USD $150 per month via a Brex Card