コンプライアンス担当官/ Compliance Officer

A global financial services company is looking for a Compliance Officer. The selected candidate will manage compliance activities, ensuring regulatory adherence, supporting internal controls, and fostering a strong compliance culture.

Responsibilities:

• Act as Internal Control Manager (ICM)
• Implement and manage the Compliance Monitoring Program
• Identify regulatory changes and upstream regulatory risks, supporting mitigation measures
• Deliver regulatory advice and strategic compliance support across the business
• Build and maintain effective relationships with regulators, senior management, and control function heads
• Participate in committees, groups, and forums as a Compliance team member
• Conduct compliance training and ad hoc sessions for business units and senior management
• Review monitoring program outputs and ensure remedial actions are executed
• Perform periodic desk and centre reviews, including assessment of new business initiatives
• Conduct corporate secretarial duties, including preparation of board meeting minutes

Requirements:

• 3-5 years in financial institution equity compliance, audit, or similar functions in Japan
• Knowledge of JSDA and FSA FIBO guidelines related to equity execution, broking, and electronic trading
• Understanding of regulatory frameworks governing IT systems and front, middle, and back-office operations
• Experience interacting with FSA and JSDA, including inspections and incident reporting
• Possess a valid Internal Control Manager (ICM) certification from JSDA or ability to obtain immediately
• Professional level English and Japanese

Preferred requirements:

• Understanding of cash equity electronic trading (Algo, High touch, HFT, Dark pool)
• Knowledge of compliance frameworks and governance structures

About the Company:

A leading global financial markets firm, specialising in broking and market intelligence, delivering innovative solutions that connect professionals and institutions worldwide. Known for its expertise in trading, data services, and client-focused strategies, it offers dynamic career opportunities for job hunters seeking growth in finance and capital markets.

Keywords:

コンプライアンス, 内部統制, 金融, 証券, トレーディング, 規制遵守, リスク管理, 監査, 求人, 外資系

Job Ref: 7XO6SP