Broker-Dealer Compliance Associate – Japan (Bilingual)

About the role

Alpaca Japan, the Japanese subsidiary of a US‑based fintech leader, is seeking a bilingual Compliance Associate to support its rapidly growing broker‑dealer business. The role combines regulatory filing, AML/CFT operations, and back‑office support while offering exposure to both Japanese and global teams.

Key responsibilities

• Prepare and submit regulatory filings and reports to the Financial Services Agency, Kanto Regional Finance Bureau, and Japan Securities Dealers Association.
• Maintain and improve internal compliance processes, policies, and operational manuals.
• Conduct AML/CFT customer due diligence, transaction monitoring, and related compliance tasks.
• Assist in risk assessments for new products, services, and business processes.
• Coordinate incident response and regulatory reporting for system failures.
• Support internal and external audits, including remediation projects.
• Collaborate with internal departments and global group companies on compliance and operational initiatives.
• Provide back‑office support for Financial Instruments Intermediary businesses as the business scales.

Required profile

• Business‑level proficiency in both Japanese and English.
• Minimum 3 years of back‑office experience at a securities firm in Japan (compliance, operations, trade operations, AML/CFT, or related functions).
• Proactive mindset with strong organizational skills and ability to prioritize multiple tasks.
• Ability to work collaboratively across teams and adapt to a fast‑paced, changing environment.

What we offer

• Competitive salary and stock options.
• Health benefits.
• One‑time home‑office setup allowance (USD 500).
• Monthly stipend for remote work (USD 150 via Brex card).