Capital.com - Compliance Manager (Japan)

About the Company

We are a leading trading platform experiencing ambitious global expansion, recognized for our award-winning, cutting-edge technology and seamless client experience. We are committed to delivering excellence and are constantly seeking talented individuals to join our growing team.

About the Role

As part of Capital.com's expansion into the Japanese market, you will be responsible for building and running the compliance framework for our Type I Financial Instruments Business from its foundations. This role encompasses the full spectrum of compliance, including drafting internal rules, managing regulatory interactions (Financial Services Agency, Local Finance Bureau), overseeing AML/CFT operations, and conducting trade surveillance. You will have substantial latitude to design an internal control framework that meets Japanese regulatory requirements from scratch, working closely with our global compliance team. This is a crucial role for the credibility and success of our Japan operations.

Responsibilities

• Develop and maintain the compliance policy framework and internal control rules for the Type I Financial Instruments Business.
• Manage filings, reports, and inspections involving regulators (Financial Services Agency and Local Finance Bureau) and self-regulatory organizations (Japan Securities Dealers Association, The Financial Futures Association of Japan, The Commodity Futures Association of Japan, and Japan Virtual and Crypto assets Exchange Association).
• Build the customer due diligence (CDD/EDD) framework, run transaction monitoring, and file suspicious transaction reports.
• Conduct trade surveillance for insider trading and other unfair trading practices.
• Plan and deliver internal compliance training.
• Review advertising and sales materials for conformity with the Financial Instruments and Exchange Act and advertising regulations.
• Build and operate the account-opening review and customer management framework.
• Establish the framework for handling complaints and dispute resolution (FINMAC and similar bodies).
• Ensure alignment of group-wide compliance policies with domestic regulations, collaborating with the global team.
• Operate and administer corporate bodies such as the Compliance Committee and the Board of Directors.

Requirements

• Minimum 3+ years of hands-on compliance experience at a securities firm, FX/CFD broker, or crypto-asset exchange service provider (or equivalent demonstrable capability).
• Proven experience in building internal rules and internal control frameworks (e.g., registration applications for a financial instruments business).
• Possession of, or expected attainment of, the Internal Control Manager qualification of the Japan Securities Dealers Association and the Internal Control Manager qualification of The Financial Futures Association of Japan.
• Working knowledge of relevant Japanese laws, including the Financial Instruments and Exchange Act, the Act on Prevention of Transfer of Criminal Proceeds, the Act on the Protection of Personal Information, and the Act on the Use of Numbers to Identify a Specific Individual in Administrative Procedures (My Number Act).
• English proficiency for collaboration with the global compliance team.

Preferred Qualifications

• Experience with the registration process for a new Type I Financial Instruments Business.
• AML qualifications such as CAMS (Certified Anti-Money Laundering Specialist).
• Deep understanding of derivative products (FX and CFDs).

What We Offer

• Competitive Salary: Rewarding your skills and talents with a valued salary.
• Work-Life Harmony: A company culture that prioritizes your well-being outside of work.
• Generous Time Off: Ample annual leave to recharge and enjoy life.
• Employee Referral Program: Rewards for bringing talented individuals to the team.
• Comprehensive Health & Pension Benefits: Medical insurance, pension plans, and location-specific perks.
• Workation Wonderland: 30 extra days to work remotely from anywhere globally (subject to restrictions).
• Volunteer Days: Two additional paid days per year to support charitable causes.

Join Us

Be a key player at the forefront of the digital assets movement and propel your career to new heights. Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.