エクイティコンプライアンススペシャリスト/ Equity Compliance Specialist

A multinational financial services firm is seeking an Equity Compliance Specialist. The selected candidate will oversee regulatory compliance, implement internal controls, and support compliance operations related to equity trading activities.

Responsibilities:

• Formulate and implement internal controls and compliance policies with the Head of Compliance
• Act as a contact point for inquiries from regulators and manage regulatory reporting
• Handle daily compliance operations, including transaction monitoring, trade surveillance, and screening
• Conduct KYC reviews and support audits, inspections, and compliance testing
• Provide regulatory advice on cash equities sales, trading, and electronic trading services
• Ensure adherence to FIEL, JSDA, and stock exchange regulations and data privacy rules
• Review and update compliance procedures in response to regulatory changes
• Conduct internal compliance training and manage compliance risk assessments
• Collaborate with global and regional teams within the second line of defence
• Review marketing materials and contracts to ensure regulatory compliance

Requirements:

• Bachelor’s degree or above
• More than 5 years of experience in compliance within a securities firm
• Proven experience in providing regulatory or compliance advice related to equities
• Knowledge of equity product regulations and self-regulatory body requirements
• Proficient in MS Office Suite
• Professional level Japanese and English

About the Company:

A leading global financial services company specialising in innovative online trading and investment solutions, this firm empowers investors with advanced technology, real-time market insights, and seamless digital platforms. With a strong presence in Japan and across global markets, it continues to redefine the investing experience by providing accessible, data-driven tools for both beginner and professional traders.

Keywords:

コンプライアンス, 証券, 規制遵守, 株式, 内部統制, 金融サービス, リスク管理, 求人, 外資系

Job Ref: HSJIND