法務・コンプライアンスマネージャー/ Legal and Compliance Manager

A global financial services company is looking for a Legal and Compliance Manager/Associate. The selected candidate will oversee regulatory compliance, internal controls, and operational compliance activities while supporting audits, training, and cross-departmental guidance.

Responsibilities:

• Serve as primary liaison for regulatory authorities and coordinate responses to inquiries
• Support audits, inspections, and customer complaint handling processes
• Establish, review, and monitor internal compliance policies and procedures
• Conduct KYC, AML/CFT checks, and transaction monitoring for regulatory compliance
• Review and manage contracts, marketing materials, and departmental guidance
• Design and deliver internal compliance training and awareness programs

Requirements:

• Bachelor’s degree or above
• More than 2 years of experience in compliance, legal, and financial institutions
• Proficient in MS Office Suite
• Native level Japanese; business level English

Preferred requirements:

• Experience in retail securities business operations or compliance
• Prior experience with regulatory reporting and examination processes
• Understanding of rules and regulations governing the retail securities business in Japan

About the Company:

A financial services company offering a range of investment and trading solutions to clients. With a focus on providing innovative and user-friendly platforms, the company empowers investors to make informed decisions in the dynamic world of finance.

Keywords:

法律,法務,コンプライアンス, 法律, 求人, 外資系

Job Ref: 9R6TRN