Head of Compliance - Japan

StoneX Group
日本
フルタイム
3週間前

Overview

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 4,500+ employees and over 300,000 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.  StoneX’s APAC headquarters is in Singapore, which oversees its offices in Australia, China, Hong Kong, India and Japan.

Responsibilities

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:

*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.

Qualifications

To land this role you will need:

 

What makes you stand out:

 

Education / Certification Requirements:

 

Working environment:

 

#LI-Hybrid #LI-KV1 

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