Head of Compliance

A foreign financial services company is searching for a Head of Compliance. The selected applicant will be responsible for ensuring regulatory compliance, financial crime controls, and support for risk strategy and reporting. This is a hybrid role.

Responsibilities:

• Assist in managing corporate-related and sensitive information
• Maintain compliance-relevant information
• Support KYC process for customer onboarding and account opening
• Perform periodic or ad-hoc review of customers and accounts
• Act as the designated Money Laundering Reporting Officer (MLRO)
• Provide compliance advice on local laws, regulations, and internal policies for financial crime compliance
• Review customer transactions for suspicious activity or red flags
• Act as the designated JFSA Liaison Officer and handle queries from authorities
• Provide advisory support and gap analysis on regulatory compliance matters
• Ensure branch compliance with Japanese banking laws and foreign bank agency regulations
• Prepare compliance reporting, review manuals, and support governance processes
• Coordinate audits and regulatory visits, review findings, and support remediation
• Ensure staff completion of compliance training and deliver onsite training when necessary
• Provide ad-hoc translation support and perform other assigned compliance tasks
• Support risk monitoring, reporting, and management, including escalation and risk control processes

Requirements:

• Bachelor’s degree or above
• 8-10 years of work experience
• More than 7 years of experience in compliance
• Strong working knowledge of banking regulations and compliance guidelines in Japan
• Advanced level in MS Word, Excel and Co-Pilot
• Good communication skills with the ability to communicate effectively across time zones and different cultural backgrounds
• Proficient in written and verbal English and Japanese

Preferred Requirements:

• Exposure to Financial International Sanctions

About the Company:

A foreign provider of post-trade services, offering settlement, custody, and investment fund services for financial institutions globally. It ensures secure and efficient management of securities and supports smooth cross-border transactions and liquidity management.

Keywords:

金融, 会计, 合规, 金融服务, 投资, 银行业, 外資系

Job Ref: L1VILU