Head of Compliance - Japan

Class: Full-time AND Permanent

Legal Entity: StoneX Securities Co. Ltd. (formerly known as Gain Capital Japan Co. Ltd.)

Reports to: Head of Compliance APAC

Company Overview:

Connecting clients to markets and talent to opportunity.

With 4500 employees and over 300000 commercial institutional payments and retail clients we operate from more than 70 offices spread across six continents. As a Fortune 100 Nasdaq-listed provider we connect clients to the global markets focusing on innovation human connection and providing world-class products and services to all types of investors.

Whether you want to forge a career connecting our retail clients to potential trading opportunities or ingrain yourself in the world of institutional investing StoneX Group is made up of four business segments that offer endless potential for progression and growth.

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. StoneXs APAC headquarters is in Singapore which oversees its offices in Australia China Hong Kong India and Japan.

Position Purpose:

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 indices and option transactions.

Primary duties will include:

• Responsible for compliance advisory regulatory compliance financial crime compliance and compliance monitoring in order to maintain existing and future licenses and memberships.
• Serve as key contact and manage relationships with all Japan regulatory agencies (FSA and JSDA) with internal and external audits and as Chief Internal Control officer.
• Advise on business expansion (for retail FX and CFDs fixed income securities and payments) transactions and compliance issues in Japan
• Perform compliance risk assessment and ensure effective measures are in place to identify assess and mitigate risks
• Prepare annual compliance plan for approval and implementation together with compliance monitoring program
• Update policies procedures and controls to meet regulatory requirements
• Collaborate with stakeholders in business units senior management and regional compliance

*The list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.

To land this role you will need:

• Minimum 7 years of retail compliance experience in companies regulated by FSA and member of JSDA/ FFAJ
• Knowledge of Japan regulations on retail securities dealing brokerage and payments especially on foreign exchange (FX) stock index CFDs knockout options and over-the-counter (OTC) derivatives transactions including FIEA FEFTA & AML legislations
• Strong communication skills in Japanese and English language (spoken and written)
• Global mindset and culturally sensitive to work in local and international environment

What makes you stand out:

• Attention to detail pro-active hands-on approach to problem solving
• Adaptable collaborative trustworthy leader and team player

Education / Certification Requirements:

• University Degree in accounting business finance law or related fields
• Internal Control Administrator qualifications issued by JSDA and FFAJ
• Professional certification in compliance is advantageous

Working environment:

• Hybrid (1-day WFH)
• Knowledge-sharing meetings and mentoring
• No Travel Requirements

#LI-Hybrid #LI-KV1