コンプライアンス/ Compliance
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
About the job

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
FULL_TIMEJob Reference: 7XO6SP-9EC62327
Date posted: 30 July 2025
Consultant: Claudia Yuki Shinozaki
kanto banking-financial-services/compliance 2025-07-30 2025-09-28 financial-services Tokyo JP JPY 10000000 14300000 14300000 YEAR 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