Senior Compliance Officer - Financial Services Company

勤務地 東京都
雇用形態 正社員
給与 ¥14000000.00 - ¥20000000.00 (年収)
専門 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 Nicolas Rumebe
JOB ID JO-2112-466178
about Nicolas Rumebe

☑Foreign business ☑English language required ☑Japanese language required

Senior Compliance Officer

[Company Description]
Financial Services Company

The candidate will join our Legal and Compliance department to support its business in Japan and throughout the region. We have offices across Asia Pacific including Singapore, Japan, Hong Kong, Australia and China. The successful candidate will assume the following responsibilities, reporting to the Head of Japan Compliance:

  • Review and approve marketing materials to ensure compliance with the Japanese law and regulations
  • Provide compliance advisory to our Japan's business with a focus on its marketing activities
  • Conduct periodic checks on compliance with Japan-specific rules and policies including but not limited to our Compliance manual, the Japan AML Act, the Personal Information Protection Act, etc.
  • Ensure fund registrations and regulatory notifications for our funds in Japan
  • Maintain legal ledgers as well as various compliance registers and logs
  • Ensure record keeping of all legal and regulatory-required documents
  • Periodically update our policies and procedures
  • Handle regulatory inquiries and assist with inspections and regulatory training
  • Provide other assistance as may be required day-to-day in supporting the compliance and legal activities
  • Conduct various compliance projects with other APAC offices


  • At least 10 years of relevant experience, preferably in compliance or a control function in the financial industry with solid knowledge of the FIEA and industry regulations
  • A minimum of 5-7 years of experience holding such roles as Compliance officer in foreign asset management firms with exposure to retail products
  • Native Japanese language with excellent written and spoken English language skills
  • Excellent organizational and execution skills
  • Self-starter and team player with strong work ethic and drive to learn in a new environment

[Language Requirement]

  • English Language level: Advanced level
  • Japanese Language level: Native Level
  • Work permission in Japan required

14-20 million JPY

Social insurance

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

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-2112-466178
Seniority Level: Mid-Senior level
Job Function: Legal, Finance