Note: Applicants must be located in Japan
Note: Fluent ~ Native level Japanese required
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
Full 2 holiday week system (Sat/Sun) national holidays
New year's holiday
Please click "apply" if you are interested in the job.
We will review your profile and contact you within five business days should we find that you satisfy the requirements of the hiring company.
Further details about the company and position will be notified at a later date.