Compliance Manager/VP - Finance Company

勤務地 東京都
雇用形態 正社員
給与 ¥10000000.00 - ¥15000000.00 (年収) + Bonus
専門 銀行・金融・保険, 法務・知財・コンプライアンス,
職種 コンプライアンス,
お問合せ John McCrohon
JOB ID JO-2211-476415
about John McCrohon

・Applicants must have permission to work in Japan
・Applicants must be able to speak fluent ~ native level Japanese (Equivalent to JLPT N1)

☑Foreign business ☑English language required

Compliance Manager - Compliance VP

[Company Description]
Global Finance Company


  • Day to day advisory across sales and trading businesses including equities, fixed income, research, and investment banking
  • Maintaining regulatory and exchange relationships, including dealing with regulatory queries, investigations and inspections
  • Building and maintaining strong relationships with the Front Office, Operations etc. and with Compliance colleagues globally
  • Assisting in the response to issues identification and escalation by evaluating, recommending the initiation of, and/or carrying out investigative procedures
  • Compliance support and advice covering cross border regulatory issues
  • Assisting in the identification of potential areas of compliance vulnerability and risk; developing/implementing corrective action plans and overall design and execution of a robust compliance program
  • Providing training to front office personnel on general regulatory matters, internal policies, conduct and ethics, sales practices as well as on other ad hoc regulatory matters


  • 5 + years Compliance experience
  • Solid institutional broker dealer, investment banking experience, ideally gained from a US or European investment bank
  • Possess good working knowledge of the Japanese financial laws and regulations
  • Good analytical and communication skills
  • Proficiency in MS Office including PowerPoint and Excel
  • Self-motivated and innovative

12~15 million JPY+ Bonus
(Experiences and skills will be considered)


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

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.

Reference: JO-2211-476415
Seniority Level: Mid-Senior level
Job Function: Compliance