Japan Broker-Dealer Compliance Associate

Who We Are:

Alpaca is a US-headquartered, global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more.

Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 10 million brokerage accounts.

Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it.

Alpaca is proudly backed by $400 million in funding from top-tier global investors including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Opera Tech Ventures, SBI Group, Derayah Financial, Unbound, Peak XV, Elefund, and Y Combinator.

Our Team Members:

We're a dynamic team of 400+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond!

We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply.

Your Role:

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 (required):

• 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.

Qualifications (preferred):

• 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

職種名: 証券部門、コンプライアンスアソシエイト

職務概要:

Alpaca Japanは、米国発のフィンテック企業の日本子会社であり、第一種金融商品取引業者として、APIベースの証券取引インフラを提供しています。米国株取引を提供する金融機関向けに、グループ会社である米国証券会社への注文取次ぎや、金融商品仲介業者向けの口座開設・管理サービスを提供しています。今回、拡大する日本でのビジネスを支えるため、日英バイリンガルのコンプライアンスアソシエイトを募集します。

本ポジションでは、コンプライアンス業務を中心に、証券会社のバックオフィス業務や業務改善、新規サービスの運営サポートなど、幅広い業務に携わっていただきます。少人数のスタートアップ環境のため、担当領域にとらわれず、自ら課題を見つけ、周囲と協力しながら改善を進められる方を歓迎します。

また、米国をはじめとするグローバルチームとのコミュニケーションも日常的に発生するため、日本国内だけでは得られない経験を積むことができます。

主な業務内容:

• 金融庁、関東財務局、日本証券業協会等への各種届出・報告・照会対応のサポート
• コンプライアンスに関する社内オペレーションの運営・改善
• AML/CFT、顧客管理、モニタリング等の実務
• 社内規程や業務マニュアルの整備・更新
• 新規サービスや業務フローに関する法令・リスク確認のサポート
• システム障害等のインシデント発生時の社内調整・報告対応
• 社内各部署や海外グループ会社との連携
• 監査対応や改善プロジェクトのサポート
• 金融商品仲介業者に関する管理・モニタリング業務
• その他、事業拡大に伴うバックオフィス業務全般

応募資格:

＜必須＞

• 日本語・英語で業務上のコミュニケーションができる方
• 証券会社でのバックオフィス業務経験（3年以上）
  • コンプライアンス
  • オペレーション
  • 取引管理
  • AML
  • 管理部門
  • その他これらに準ずる業務
• チームと協力しながら主体的に業務を進められる方
• 新しい業務や変化を前向きに楽しめる方
• 複数の業務を優先順位をつけながら進められる方

＜あると望ましい＞

• コンプライアンスの実務経験
• 金融庁・財務局・日本証券業協会等への対応経験
• 業務改善・プロジェクト推進経験
• Fintechや証券システムへの興味・関心
• 一種外務員資格および内部管理責任者資格の保有者（未保有の場合は、入社後に取得いただきます）
• スタートアップや少人数組織での勤務経験

言語:

• 日本語および英語の両方で業務遂行が可能な方

勤務条件:

• 正社員
• 定時勤務が基本だが、グローバルチームとの連携のため早朝または夜間の会議が発生するケースあり
• 日本国内よりリモート勤務。当局や顧客への対応のため対面業務が生じる可能性あり

How We Take Care of You:

• 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

Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.

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