コンプライアンスオフィサー/ Compliance Officer

An international bank securities firm is seeking a Compliance Officer or Senior Officer. The selected candidate will provide compliance and legal support across regulatory, corporate, and commercial matters. This is a remote setup and contract role.

Responsibilities:

• Provide compliance support and advice on commercial, financial, regulatory, corporate, IP, IT, and data protection matters
• Handle daily legal tasks including agreement review, policy updates, board documentation, and regulator/auditor queries
• Advise on compliance issues related to licensing, AML, KYC, and product development
• Review promotional, marketing, and advertising materials, including website content
• Plan and implement compliance and AML monitoring and surveillance controls
• Conduct spot checks in coordination with Group Compliance
• Respond to client complaints and collaborate with internal and external stakeholders
• Manage regulatory and official inquiries
• Deliver compliance and legal training for staff
• Support internal, external, and regulatory audits
• Maintain and update internal policies, procedures, and client agreements

Requirements:

• 2–5 years of experience in Legal or Compliance roles within the financial industry, preferably in capital markets, securitisation, or derivatives
• Experience in handling Japanese regulatory authorities
• Proven knowledge of Japanese financial regulations
• Fluent level written and verbal English and Japanese

About the Company:

An international investment banking organisation highly specialised in online trading and investment, this company provides financial solutions to customers across the globe.

Keywords:

コンプライアンス, 金融業界, 法務, 金融規制, 規制対応, デリバティブ, 証券, 求人, 外資系

Job Ref: TDV7BI