Broker-Dealer Operations Specialist, Japan (Japan Location / Japanese Language Required)

Job description

**Who We Are:** **Alpaca is a US-headquartered, global leader in agent-first brokerage infrastructure**for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. 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 10 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. 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. **Alpaca is proudly backed by $400 million in funding from top-tier global investors including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Opera Tech Ventures, SBI Group, Derayah Financial, Unbound, Peak XV, Elefund, and Y Combinator.** **Our Team Members:** We're a dynamic team of 400+ 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! 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. **Your Role:** Alpaca Japan is the Japanese subsidiary of Alpaca, a U.S.-based fintech group, and is registered as a Type I Financial Instruments Business Operator with the Kanto Regional Finance Bureau (Registration No. 3024). We provide securities trading infrastructure and operational services to financial institutions in Japan. As our business and product offerings continue to expand, we are seeking a Securities Operations Specialist to oversee back-office operations, primarily for Japanese equity trading. In this role, you will be responsible for a broad range of day-to-day brokerage operations, including settlement, cash movements, position and balance reconciliation, corporate actions, and customer account administration. You will also work closely with global teams and external stakeholders, to ensure accurate and stable operations and continuously improve operational processes. We are looking for someone who can proactively identify issues, take ownership, and collaborate effectively with relevant stakeholders in a fast-paced startup environment. **Key Responsibilities:** - Manage end-to-end back-office operations for Japanese equity trading, including post-trade processing, clearing and settlement, delivery of securities and funds, deposits and withdrawals, and position and cash reconciliation - Manage customer account opening and ongoing account administration - Oversee the segregation of customer assets and prepare or review statutory books and records, customer statements, and regulatory reports - Manage corporate actions, including dividends, stock splits, and shareholder benefits, as well as related tax and withholding operations - Coordinate with counterparties, clearing and settlement institutions, custodians, and other external stakeholders - Handle and escalate operational issues, exceptions, and trade discrepancies - Establish and improve operational processes, procedures, and internal control frameworks - Communicate in English with global teams, including teams based in the United States **Qualifications (required):** - At least three years of hands-on experience in Japanese equity back-office operations at a securities firm, with practical knowledge of areas such as post-trade processing, clearing and settlement, cash and position management, securities accounting, customer accounts, segregation of customer assets, and corporate actions - Understanding of the Japanese securities market and its clearing and settlement framework, including the Japan Securities Depository Center (JASDEC) - Practical experience with, or knowledge of, statutory books and records and regulatory reporting - Business-level proficiency in both Japanese and English. English proficiency must be sufficient for business communications by email and chat, reviewing documents, and participating in meetings - Ability to manage multiple responsibilities accurately, take initiative, and work effectively with relevant stakeholders **Qualifications** (**preferred):** - JSDA Internal Control Manager qualification - Knowledge of Japan-specific account structures and tax regimes, including NISA and specified brokerage accounts - Middle and back-office experience with Japanese and foreign equities, particularly Japanese equities - Experience launching new services or establishing and improving operational frameworks - Experience working in a startup or other fast-paced environment - Experience improving operational efficiency, including through system changes **Language Requirements:** - Ability to perform business responsibilities in both Japanese and English **Work Conditions:** - Full-time employee - In-office attendance is required for system access around 3 times a week. **職種名:** 証券オペレーションスペシャリスト（日本株） **職務概要:** Alpaca Japanは、米国発のフィンテック企業Alpacaグループの日本法人であり、関東財務局長（金商）第3024号登録の第一種金融商品取引業者です。日本の金融機関向けに、証券取引に関するインフラおよびオペレーションサービスを提供しています。事業および取扱商品の拡大に伴い、日本株取引を中心とした証券バックオフィス業務を担うオペレーションスペシャリストを募集します。 本ポジションでは、日本株の決済、入出金、残高照合、コーポレートアクション、顧客口座管理など、証券会社における日々のオペレーションを幅広く担当していただきます。また、米国を含むグローバルチームや社内外の関係者と連携し、正確かつ安定的な業務運営およびオペレーションプロセスの改善に取り組んでいただきます。 変化の速いスタートアップ環境において、自ら課題を発見し、関係者と連携しながら主体的に業務を進められる方を求めています。 **主な業務内容:** - 日本株取引に関するバックオフィス業務全般（約定後処理、清算・決済、証券・資金の受渡し、入出金および残高照合） - 口座開設・顧客管理業務 - 顧客資産の分別管理ならびに法定帳簿、顧客向け帳票および当局報告への対応 - 配当、株式分割、株主優待等のコーポレートアクションおよび税務・源泉徴収に関する業務 - 取引先、決済機関、カストディアンその他の外部関係者との連携 - オペレーション上の問題や例外取引への対応およびエスカレーション - 業務プロセス、手順書および内部管理体制の整備・改善 - 米国を含むグローバルチームとの英語によるコミュニケーション **応募資格:** ＜必須＞ - 証券会社における、3年以上の日本株取引に関するバックオフィス業務全般経験（約定後処理、清算・決済、入出金・残高管理、証券会計、顧客勘定および分別管理、コーポレートアクション）の実務経験・知識 - 日本の証券市場および証券保管振替機構を含む清算・決済制度に関する理解 - 法定帳簿および当局報告に関する実務経験または知識 - ビジネスレベルの日本語・英語力（英語は、メール・チャット、資料の読解、会議での業務上のコミュニケーションができること） - 複数の業務を正確に管理し、関係者と連携しながら主体的に対応できること ＜あると望ましい＞ - 内部管理責任者資格 - NISA・特定口座など、日本固有の口座・税制に関する知識 - 日本株式・外国株式、特に日本株式のミドル・バックオフィス業務経験 - 新規サービスの立ち上げやオペレーション体制の構築・改善に携わった経験 - スタートアップまたは変化の速い環境での勤務経験 - システム変更等、業務効率改善経験 **言語:** - 日本語および英語の両方で業務遂行が可能 **勤務条件:** - 正社員 - リモート勤務可能だが、週に数回程度システム利用のための出社が必要 ### **How We Take Care of You:** - Competitive Salary & Stock Options - Health Benefits - New Hire Home-Office Setup: One-time USD $500 - Monthly Stipend: USD $150 per month via a Brex Card *Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.* [*Recruitment Privacy Policy*](https://files.alpaca.markets/disclosures/AlpacaRecruitmentPrivacyPolicy.pdf)