Compliance Support
Job Summary
Plus500JP証券 is seeking a Compliance Support officer to strengthen its internal compliance system. The role involves monitoring transactions, reviewing marketing materials, and coordinating with overseas departments. Candidates will benefit from a global environment and support for professional development.
Responsibilities
- Monitor customer transactions and review account openings.
- Review advertising and marketing materials for compliance.
- Coordinate with overseas subsidiaries using English.
- Formulate and revise internal regulations.
- Manage internal compliance training programs.
Required Skills
- University degree or higher.
- Business-level proficiency in English.
- Native-level Japanese proficiency.
- Understanding of Financial Instruments and Exchange Act.
- Attention to detail and teamwork capabilities.
Job Details
[Job Description]
- Monitoring customer transactions
- Account opening reviews
- Reviewing advertising and marketing materials
- Communicating with overseas departments (in English)
- Assisting with the formulation and revision of internal regulations
- Assisting with the management of internal compliance training
[Required Qualifications]
・University graduate or above
・Japanese language proficiency sufficient to understand the Financial Instruments and Exchange Act and FSA guidelines, etc.
・Business-level English proficiency (phone, email, and meeting skills)
[Preferred Qualifications]
・Knowledge and interest in FX and CFDs
・Experience in advertising review and AML-related work
・Type 1 Securities Dealer/Financial Futures Dealer/Internal Control Officer/Commodity Dealer
・Training experience from a self-regulatory organization (JSDA, FFAJ, CFAJ, etc.)
・Experience working with overseas offices
[Ideal Profile]
・Attention to detail and the ability to execute work accurately
・Value teamwork
・Global perspective and the ability to adapt flexibly to cross-cultural environments