Japan Broker-Dealer Legal & Compliance Manager

<div class="content-intro"><p><strong>Who We Are:</strong></p> <p>Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our <a href="https://alpaca.markets/blog/alpaca-raises-150-million-at-a-1-15b-valuation-to-build-the-global-standard-for-brokerage-infrastructure/">recent Series D funding round</a> brought our total investment to over $320 million, fueling our ambitious vision.</p> <p>Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts.</p> <p>Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of <strong>opening financial services to everyone on the planet</strong>. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it.</p> <p>Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator.</p> <p> </p> <p><strong>Our Team Members:</strong></p> <p>We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond!<br><br>We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply.</p></div><p><strong>Your Role:</strong> </p> <p>AlpacaJapan is the Japan subsidiary of a U.S.-based fintech company and is registered as a Type I Financial Instruments Business Operator.</p> <p>We build API-based securities trading infrastructure and support financial institutions offering U.S. stock trading through order routing to our U.S. broker-dealer group company. We also provide account opening and management services for Financial Instruments Intermediary businesses.</p> <p>To support our rapidly growing business in Japan, we are seeking a bilingual Legal Compliance Manager (Japanese and English).</p> <p>This role will serve as a core member supporting Alpaca Japan’s compliance framework. In addition to ensuring regulatory compliance and coordinating with authorities, the successful candidate will proactively engage in a wide range of initiatives, including business-process improvement projects and legal assessments for new business opportunities.</p> <p>This position requires close collaboration with our global group entities. We particularly welcome candidates with experience not only in domestic securities operations but also in startup environments or international collaboration.</p> <p><strong>Key Responsibilities:</strong></p> <ul> <li>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.</li> <li>Coordinate internal communication and submit necessary reports to authorities in the event of system failures and other incidents.</li> <li>Provide legal and regulatory review and guidance to internal departments, including Sales, Product Development, and Operations.</li> <li>Conduct customer due diligence and risk assessments for new business models and initiatives.</li> <li>Liaise with external legal advisors as necessary.</li> <li>Lead remediation projects addressing findings from internal or external audits.</li> <li>Oversee internal policy governan ... (truncated, view full listing at source)