コンプライアンスオフィサー/ Compliance Officer
A leading financial services firm is seeking a Compliance Officer. The selected candidate will provide compliance advisory, training, surveillance, and support across business units. This is a contract role.
Responsibilities:
Deliver compliance advisory to front-office teams in Equity, Fixed Income, Research, and Investment Banking
- Conduct compliance training sessions for business and support staff
- Monitor trading activity to detect market abuse such as insider trading and manipulation
- Oversee error processing reviews and approvals
- Handle research compliance tasks including communication chaperoning and clearance
- Manage central compliance operations including license registration and PA dealing review
Requirements:
- Bachelor’s degree or above
- More than 3 years of experience in compliance in a securities company
- Knowledge with the Japanese capital markets setting is ideal
- Understanding of Japan’s securities laws (FIEL and JSDA riles)
- Skilled with compliance systems and tools used for trade surveillance, personal account trading, and regulatory reporting is a plus
- Possess valid JSDA Internal Administrator qualification is preferred
- Native level Japanese; fluent level written and verbal English
About the Company:
One of the world’s leading financial institutions that provides financial advisory, asset management and investment banking services. Headquartered in the US, this company has a long history of successful operations in serving corporate clients and investors across the globe.
Keywords:
法律,法務,コンプライアンス, 法律, 求人, 外資系
Job Ref: 6BE503
仕事内容

雇用形態 : 派遣・契約
専門分野 : 法務
職種 : コンプライアンス
業界 : 金融
給与 : Negotiable based on experience
勤務形態: オフィス・現場勤務
職務レベル: 一般社員
主な使用言語: 日本語 - ネイティブレベル
その他の使用言語: 英語 - ネイティブレベル
勤務地 : Tokyo
TEMPORARY求人番号 : 6BE503-528A62EC
掲載日 : 2025年6月30日
担当コンサルタント : Miao Yang
kanto legal/compliance 2025-06-30 2025-07-30 financial-services Tokyo Tokyo JP Robert Walters https://www.robertwalters.co.jp https://www.robertwalters.co.jp/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png true