A fast-growing online securities and fintech platform is seeking a Legal & Compliance Manager/Associate to support its Japan regulatory operations. This role sits at the core of the firm's regulatory interface, offering hands-on exposure to retail brokerage operations, compliance governance, internal controls, reporting, and audits.
With a lean team structure, you will gain broad ownership, close visibility with management, and accelerated skill development-ideal for professionals who want to step into a more impactful, full-spectrum control function in the Japanese fintech sector.
Key Responsibilities
- Act as the primary contact with regulators, managing all required regulatory reporting and filings.
- Develop, implement, and maintain compliance policies, procedures, and data-management frameworks.
- Review marketing materials, contracts, and agreements to ensure regulatory accuracy and alignment with Japanese securities rules.
- Support special projects, internal controls, KYC processes, STR submissions, and other compliance-related tasks assigned by management.
- Assist with audits, AML activities, and day-to-day compliance operations across the retail brokerage business.
Required Skills and Qualifications
Experience:
- Bachelor's degree with at least 2+ years of professional experience in compliance, operations, legal, or related functions.
- Business-level English communication skills.
- Strong proficiency with Microsoft Office applications.
Soft Skills:
- Strong teamwork and communication skills with a customer-oriented mindset.
- Ability to work independently, prioritise tasks, and solve problems proactively.
- High ethical standards, confidentiality awareness, and adaptability in a fast-paced environment.
Language Requirements:
- Japanese: Native level
- English: Fluent / Business level
Preferred Skills & Qualifications
- Experience in retail securities operations or compliance.
- Knowledge of Japanese securities regulations, especially those related to retail brokerage.
About the Company
Our client is a rapidly expanding online securities and fintech platform, providing modern, technology-driven investment services. The organisation emphasises innovation, operational excellence, and transparent regulatory engagement. With a lean team and dynamic growth, employees benefit from broad responsibility, strong visibility, and hands-on involvement in regulatory compliance across the retail brokerage environment.
Why You'll Love Working Here
- Competitive salary and benefits in a high-growth fintech environment.
- Broad regulatory ownership, including filings, audits, and daily compliance interaction.
- Lean team structure that accelerates professional development and visibility.
- Hands-on exposure to retail brokerage operations, AML, KYC, and transaction monitoring.
- Opportunities to contribute to policy design and cross-functional compliance initiatives.
Don't Miss Out - Apply Now!
