Japan BrokerDealer Legal Compliance Manager

Your Role

Alpaca Japan, a U.S.

-based fintech subsidiary, is recruiting a bilingual Legal & Compliance Manager (Japanese and English) to support its compliance framework. The role will coordinate regulatory compliance, engage in business‑process improvement, conduct legal assessments for new opportunities, and collaborate with the global group.

• Handle regulatory communications and filings with authorities such as the Financial Services Agency (FSA) and the Japan Securities Dealers Association (JSDA), including responses to inquiries.
• Coordinate internal communication and submit necessary reports to authorities in the event of system failures and other incidents.
• Provide legal and regulatory review and guidance to internal departments, including Sales, Product Development, and Operations.
• Conduct customer due diligence and risk assessments for new business models and initiatives.
• Liaise with external legal advisors as necessary.
• Lead remediation projects addressing findings from internal or external audits.
• Oversee internal policy governance and help enhance internal risk‑management systems and operational workflows.
• Collaborate with the U.S. parent company and other group entities to establish and maintain a consistent global risk‑management framework.
• Plan and deliver training programs to raise compliance awareness among employees and financial‑instrument intermediary agents.
• Monitor and inspect the operations of financial‑instrument intermediary businesses to ensure compliance.
• Perform compliance checks and ongoing monitoring of transactions for anti‑money laundering and related risks.

• Business‑level fluency in both Japanese and English.
• 3+ years of experience in legal or compliance roles at a securities firm in Japan.
• Experience in at least two of the following areas:
  • Communicating and filing reports with regulatory authorities.
  • Performing transaction monitoring and customer review (e.g., AML, trade surveillance).
  • Reviewing contracts from a legal perspective.
  • Supporting board of directors and shareholder meeting procedures.
  • Drafting and maintaining internal policies and corporate rules.
• Understanding of regulatory reporting and risk‑management frameworks.
• Strong communication skills and ability to collaborate effectively with both domestic and global teams.
• Ability to work independently, manage multiple responsibilities, and prioritize tasks proactively.
• Passed the Japan Type I Sales Representative Exam or the Internal Control Manager Qualification Exam (if only the Type I exam is passed, the internal control manager qualification must be obtained after joining).

• Experience working in startups or small teams.
• Interest and flexibility to support a wide range of business functions, including general affairs, operations management, and sales support.

• Full‑time employee.
• Primarily remote; occasional in‑person engagements may be required for meetings with regulatory authorities or clients.

• 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.