Senior Compliance Officer

Responsibilities

• Provide compliance advisory and strategic solutions to the brokerage management team
• Conduct regulatory research and develop internal rules, policies, and compliance training programs
• Formulate, review, and implement compliance programs in accordance with regulatory guidelines
• Execute best practices for AML/CFT and other requirements to ensure full regulatory compliance
• Develop risk management procedures to minimize internal operational risks
• Act as a point of contact for regulatory authorities regarding compliance matters
• Implement risk-based compliance monitoring programs 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
• Deep knowledge of financial regulations and authorities (e.g., SESC, FSA, JSDA, JSCC, JPX)
• Strong analytical, problem-solving, and presentation skills
• Proficiency in Microsoft Office Suite
• Native-level Japanese language skills
• Ability to work independently and manage stress in a fast-paced environment

Preferred Qualifications

• Business-level proficiency in English or Chinese

Benefits

• Full-time permanent employment with a 3-month probationary period
• Flexible working hours with core time from 10:00 to 16:30
• Full commuting allowance
• Over 120 days of annual leave, including weekends and public holidays
• Comprehensive social insurance (Health, Pension, Employment, and Workers' Compensation)
• Paid annual leave (15+ days in the first year) and various other leave types

About the Company

moomoo is a next-generation financial information and online securities trading platform provided by Futu Holdings Limited, a NASDAQ-listed company. As part of the FUTU group, which holds a leading market share in Hong Kong, moomoo provides users in seven countries with access to professional-grade investment data and trading services. Following the successful launch of our US stock trading service in Japan, we are rapidly expanding our presence in the Japanese market.