Compliance Officer - Japanese speaking
Compliance Officer - Japanese speaking
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Job Description
A leading international investment banking group is seeking a Compliance Officer to join its Legal and Compliance Department in Tokyo. The firm operates globally with offices in major financial centers and is registered as a Type 1 and Type 2 Financial Instruments Business Operator in Japan. The Tokyo office primarily supports Global Markets and Investment Banking businesses and works closely with headquarters teams across Asia.
Reporting to the Head of Legal and Compliance in Japan the Compliance Officer will play a critical role in maintaining and enhancing the firms compliance framework ensuring adherence to relevant local regulations and global standards.
Tasks
- Oversee and execute compliance-related functions for the Tokyo entity.
- Provide day-to-day compliance advisory services to business units and support functions.
- Review and assess new business and product proposals for regulatory compliance and best practices.
- Conduct surveillance and monitoring to ensure operational adherence to regulatory requirements.
- Oversee KYC procedures AML compliance and financial crime prevention programs.
- Liaise with regulatory authorities and self-regulatory organizations on compliance matters.
- Support regulatory examinations and respond to inquiries.
- Deliver compliance training to internal teams.
- Collaborate with global compliance colleagues particularly in Beijing and Hong Kong.
- Undertake ad hoc tasks and special projects assigned by the Head of Legal and Compliance.
Requirements
- Bachelors degree or above.
- Minimum 5 years of experience in legal and compliance within a Type 1 Financial Instruments Business Operator.
- Must hold Japan Securities Dealers Association certifications: Class-1 Sales Representative and Internal Administrator.
- Strong working knowledge of Financial Instruments and Exchange Act AML regulations and other relevant laws.
- Experience with cross-border institutional transactions is preferred.
- Native Japanese with strong verbal and written English communication skills.
- High professional integrity detail-oriented organized and a proactive self-starter.
This is a key opportunity for a compliance professional to be part of a dynamic and globally connected legal and compliance team helping shape a robust regulatory environment for the firms expanding international business in Tokyo.
Employment Type
Full Time
