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.