Head of Risk and Compliance

A renowned financial services company is searching for a Head of Risk and Compliance. The selected candidate will be in charge of ensuring that distribution activities are in compliance with the FIEA and relevant regulations.

Responsibilities:

• Ensure compliance with laws, regulations, Type 2 registration, and FIEA obligations
• Develop, implement, and maintain compliance policies, procedures, training, and monitoring activities
• Conduct compliance audits, assessments, and training programs for staff
• Develop and execute comprehensive risk management strategies and mitigation plans
• Provide reports and updates on risk and compliance matters to the Executive Team and Governance Committee
• Coordinate with internal auditors and regulatory bodies during audits and inspections
• Lead and mentor compliance staff, including the Suitability Compliance Officer, performing suitability and AML checks
• Collaborate with stakeholders across legal, finance, operations, and IT to strengthen compliance practices
• Develop and oversee crisis management and response plans for risk-related incidents

Requirements:

• Deep understanding of securities regulatory framework from a Type 1 or Type 2 background
• Prior regulatory inspection experience
• Compliance experience overseeing retail distribution of financial products (securities, mutual funds, insurance products, etc.)
• Understanding of fund distribution or investment-linked products is desirable
• Strong commercial awareness of compliance role within the wider business
• Bilingual in Japanese; business level English

About the Company:

The company is a leading player in the financial sector, utilising an extensive array of market data, financial reports, and industry insights to provide comprehensive analysis. With a strong focus on delivering curated and competitive financial products, it helps clients make well-informed decisions in an ever-evolving market.

Keywords:

金融サービス, コンプライアンス, 証券, 投資

Job Ref:TBQE8P