コンプライアンスディレクター/ Director of Compliance

A foreign brokerage and investment bank is looking for a Director of Compliance. The chosen applicant will be responsible for developing across multiple compliance areas, including advisory, monitoring, testing, and regulatory affairs.

Responsibilities:

• Advise, monitor, and oversee the equity and derivatives business
• Supervise compliance testing, risk inventory maintenance, and risk assessment
• Manage information control in general, including personal data, transactional data, and other proprietary information such as trade secrets
• Assist different lines of business with cross-selling products by providing advice on laws and regulations and creating robust control processes
• Review research and sales memos and solicitation materials such as pitch books
• Advise the Client Onboarding team on KYC requirements
• Assist the Japan Head of Compliance with day-to-day operations
• Support other team members with daily tasks such as regulatory filings and monitoring

Requirements:

• Master’s degree or above in law, finance, business, or economics
• More than 5 years of relevant experience in legal or compliance functions
• More than 3 years of work experience in financial institutions
• Candidates with less experience will be considered for Associate Director
• Professional working level Japanese; fluent level written and verbal English

Preferred Requirements:

• Legal qualification
• Knowledge of operations, finance, or IT
• Product knowledge in certain areas, including derivatives, M&A, private and/or public offerings, commodities, and funds
• Fluent level Chinese

About the Company:

An international brokerage and investment banking organisation, this company is a widespread global company. Servicing both corporate and institutional clients in several locations across the world, this company continues to grow its influence.

Keywords:

法務, コンプライアンス, 業務, 投資銀行, 金融サービス, 外資系

Job Ref: KYJSGI