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Senior Compliance Officer

StoneX Group Tokyo, Japan
Posted 20 days ago Permanent Competitive
Senior Compliance Officer
Overview

Class: Full-time

Legal Entity: StoneX Securities Co. Ltd.

Organization: StoneX Securities Co. Ltd.

Reports to: Head of Compliance, Japan

Overview:

StoneX is an institutional-grade financial services network that connects companies, organizations, and investors to the global markets ecosystem through a unique blend of digital platforms, end-to-end clearing and execution services, high-touch service, and deep expertise

Business Segment Overview:

Corporate: Engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you'll have the opportunity to optimize processes and implement game-changing policies.

Position Purpose:

In order to support this exciting growth in the business, the Compliance department of the Japan office is seeking to hire suitably qualified persons to fill the role as Senior Compliance Associate - Japan

Responsibilities

Primary duties will include:
  • Reporting to, and working together with the Head of Compliance - Japan, in all aspects of the regulatory obligations of the entity in order to maintain the pre-requisite licenses.
  • Key functional responsibilities comprising of regulatory compliance, compliance advisory, compliance monitoring and anti-financial crime compliance.
  • Maintenance of Compliance Risk Assessments to ensure that latest regulatory risk exposures are being continuously complied, mitigated and managed.
  • Assisting in the documentation of Policies for the firm to articulate regulatory obligations to be mitigated through controls in Procedures by first line functions.
  • Assisting in the preparation of the Annual Compliance Plan for Board approval and implementation together with the Compliance Monitoring Program.
  • Working together with regulatory agencies (FSA and JSDA), internal and external audit engagements, if required.
  • Familiarity with FIEA, FETA & AML Act legislations relating to securities dealing and brokerage; specifically, CFDs, over-the-counter derivatives and foreign exchange transactions.

Qualifications

To land this role you will need:
  • Tertiary-related qualifications including Diploma or Degree or Professional Qualifications.
  • Experience in a Compliance function or role for an FSA and/or JSDA regulated entity.
  • Fluency in Spoken and Written Japanese
  • Competency in spoken and written English.
  • Working knowledge of Microsoft Outlook/Word/Excel Skills

What makes you stand out:
  • Ability to work as part of a team, and be a key contributor.
  • Keen attention to detail.
  • Willingness to work under tight deadlines.
  • Comfortable with the use of PC-based enterprise applications
  • Cordial, humble and friendly disposition for engagement with multiple internal and external stakeholders.
  • Firm and decisive decision making with willingness to assume responsibility and accountability.
Job ID  11229
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