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コンプライアンス/ Compliance

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A global financial services company is hiring a Compliance professional. The selected candidate will support regulatory compliance, risk mitigation, and internal control functions to ensure proper governance and protect the business.

Responsibilities:

  • Support internal control management and compliance monitoring activities
  • Provide regulatory advice and support compliance-related strategy
  • Identify and respond to regulatory changes and risks
  • Build and maintain strong relationships with regulators and internal stakeholders
  • Conduct compliance training and participate in relevant committees and reviews
  • Assess new business initiatives and assist in monitoring program reviews
  • Assist in inspections, reporting, and coordination with auditors and control functions
  • Perform face-to-face training and support senior management when needed
  • Support ad hoc duties and projects within the compliance function

Requirements:

  • More than 5 years of experience in a financial institution compliance or audit role
  • More than 3 years of relevant experience in Japan
  • Experience in equity compliance, audit, or similar functions
  • Skilled in JSDA/FSA FIBO guidelines, IT system regulations, and trading operations
  • Possess a valid Internal Control Manager certification (JSDA)
  • Professional level Japanese; proficient in English

About the Company:

A global leader in institutional financial markets, this company excels in connecting buyers and sellers across multiple asset classes through advanced trading solutions. With a strong presence in the capital markets, it empowers job hunters to grow their careers in a dynamic, technology-driven environment.

Keywords:

コンプライアンス, 内部統制, 金融サービス, エクイティトレーディング, 証券業界, 規制対応, 求人, 外資系

Job Ref: 7XO6SP

Contract Type: Perm

Specialism: Banking & Financial Services

Focus: Compliance

Industry: Financial Services

Salary: ¥10,000,000 - ¥14,300,000 per annum

Workplace Type: On-site

Experience Level: Associate

Language: Japanese - Professional working

Second Language: English - Business level

Location: Tokyo

Job Reference: 7XO6SP-9EC62327

Date posted: 30 July 2025

Consultant: Claudia Yuki Shinozaki

Phone number: +81 3 4570 1560

claudiayuki.shinozaki@robertwalters.co.jp

Claudia Yuki Shinozaki

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