Head of Compliance

Responsibilities

• Provide compliance advisory and solutions to the brokerage management team
• Conduct research on financial laws and regulations and develop internal rules and procedures
• Plan and implement internal compliance training programs
• Formulate, review, and implement compliance programs in accordance with regulatory guidelines
• Implement best practices for AML/CFT and other requirements to ensure full regulatory compliance
• Develop compliance risk management policies to minimize internal operational risks
• Act as a point of contact for regulatory authorities regarding compliance matters
• Execute a risk-based compliance monitoring program to identify, assess, and manage risks
• Conduct regular compliance reviews to ensure procedures align with regulatory requirements and business changes

Requirements

• Proven experience in securities compliance
• In-depth knowledge of financial regulations and authorities (e.g., SESC, FSA, JSDA, JSCC, JPX)
• Strong analytical, problem-solving, and presentation skills
• High level of self-reliance and ability to work under pressure
• Proficiency in Microsoft Office Suite
• Native-level Japanese language skills

Preferred Qualifications

• Business-level English proficiency

Benefits

• Over 120 days of annual leave
• Full five-day work week (Saturdays, Sundays, and public holidays)
• Year-end and New Year holidays
• Annual paid leave (starting from 15 days in the first year)
• Comprehensive social insurance (Health, Welfare Pension, Employment, and Workers' Compensation)
• Marriage and childbirth congratulatory payments
• Various leave options including bereavement, nursing care, and maternity/paternity leave

About the Company

moomoo is an online brokerage based in Shibuya, Tokyo, and a member of the Futu Holdings Limited group (listed on NASDAQ). We provide advanced financial technology and trading services to over 25 million users across seven countries. Our platform offers professional-level analysis tools, real-time market data, and advanced charting features designed for individual investors. As we expand our presence in the Japanese market, we are looking for innovative professionals to help us build the next generation of investment platforms.