Compliance Manager - Foreign Financial Institution

Location: Tokyo, Japan
Job Type: Permanent
Salary: ¥8000000.00 - ¥14000000.00 per annum
Specialization: Banking & Financial Services, Legal & Compliance,
Sub Specialization: Compliance,
Contact: Nicolas Rumebe
Reference: JO-2010-450140
about Nicolas Rumebe

Note: Applicants must be located in Japan
Note: Fluent ~ Native level Japanese required

[Company Description]
Foreign Financial Institution


  • Provide support and guidance to more junior members of the compliance
  • Be a senior member compliance team in the Japan, subbing for the Head of Compliance where necessary
  • Represent the company in meetings with JFSA, other regulators and self-regulatory organisations
  • To ensure the rest of the compliance team and business is kept up to date with regulatory change and expectations
  • To ensure adequate and risk-based compliance monitoring
  • To provide advice on relevant regulatory matters
  • To provide appropriate assistance in respect of external regulatory investigations/inspections
  • To maintain awareness of, report on and assist in the management of compliance and conduct risk.
  • To advise the business on compliance and conduct related matters
  • To develop systems and procedures to ensure and maintain compliance with relevant regulatory requirements, under the direction of the Head of Compliance Japan.
  • To provide assistance in any other specific or general way to the work of the global compliance team.


  • Significant financial services experience in a control/compliance or regulatory role
  • People Management
  • Retail financial services experience
  • English skill (advanced or intermediate level)
  • Japanese skill (Fluent ~ Native level)
  • Microsoft Excel skill
  • Educated to at least degree level.


  • FX/CFD, futures or equities experience
  • Relevant financial services qualifications
    • JSDA (Japan Securities Dealers Association of Japan): Class-1 sales representative and internal administrator
    • FFAJ (Financial Futures Association of Japan): sales representative and internal administrator
    • CFAJ (Commodity Futures Association of Japan


  • Good communication skills, oral and written.
  • Strong managerial skills
  • Good influencing skills.
  • Commercial acumen
  • Drive, initiative and resilience.
  • Able to balance business needs with the need to maintain a fair deal for customers.
  • Analysis and decision-making.
  • Thorough understanding of compliance risk and issues and their management

[Employment Type]
Full time



Social insurance

Full 2 holiday week system (Sat/Sun) national holidays
New year's holiday
Annual Leave

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Further details about the company and position will be notified at a later date.