コンプライアンスオフィサー/ Compliance Officer

A leading financial services firm is seeking a Compliance Officer. The selected candidate will provide compliance advisory, training, surveillance, and support across business units. This is a contract role.

Responsibilities:

Deliver compliance advisory to front-office teams in Equity, Fixed Income, Research, and Investment Banking

• Conduct compliance training sessions for business and support staff
• Monitor trading activity to detect market abuse such as insider trading and manipulation
• Oversee error processing reviews and approvals
• Handle research compliance tasks including communication chaperoning and clearance
• Manage central compliance operations including license registration and PA dealing review

Requirements:

• Bachelor’s degree or above
• More than 3 years of experience in compliance in a securities company
• Knowledge with the Japanese capital markets setting is ideal
• Understanding of Japan’s securities laws (FIEL and JSDA riles)
• Skilled with compliance systems and tools used for trade surveillance, personal account trading, and regulatory reporting is a plus
• Possess valid JSDA Internal Administrator qualification is preferred
• Native level Japanese; fluent level written and verbal English

About the Company:

One of the world’s leading financial institutions that provides financial advisory, asset management and investment banking services. Headquartered in the US, this company has a long history of successful operations in serving corporate clients and investors across the globe.

Keywords:

法律,法務,コンプライアンス, 法律, 求人, 外資系

Job Ref: 6BE503