Regulatory Compliance Officer

4週間前

Tokyo UBS

Your role
We are looking for a Central Compliance Officer who can play a key role in the Regulatory Management area, covering the following matters:

  • Licensing and Registration for JSDA & FFA
  • Regulatory reporting, including Large Shareholder Reporting
  • Regulatory notifications and filings (support)
  • Onsite/Offsite inspection coordination (support)
  • Regulator communication (support)
  • Regulatory development tracking via RGS+ tracking tool
  • C&ORC owned internal policies and procedures reviews and updates

Job Type
Full Time

Job Reference #
332812BR

City
Tokyo

Your team
You'll be joining the Central & Regulatory Compliance team within C&ORC, reporting to the Head of Regulatory Compliance, Japan. The team is responsible for:

  • Monitoring and tracking regulatory changes and developments
  • Managing communication with regulators
  • Filing regulatory reports, including Large Shareholder reporting, and notifications
  • Handling regulatory inspections and surveys
  • Communicating with regulators
  • Handling licensing and registration for JSDA and FFA
  • Managing and updating internal policies

Your expertise
You have:

  • A graduate degree with over 5 years of experience in Banks and/or Securities firms (ideally with experience in risk/regulatory management)
  • Knowledge of relevant Banking and/or Securities business and regulations (JSDA Internal Control Manager qualification is required)
  • Ability to understand and interpret regulatory developments and their impact on the industry
  • Native-level Japanese (with good verbal and written communication skills for responding to regulators) and business-level English
  • Proficiency in Microsoft Excel, Word, and PowerPoint

You are:

  • A team player who is willing to collaborate, take ownership, and try new challenges
  • Efficient and results-oriented, with exceptional organizational and coordination skills
  • A motivated and energetic team member
  • An effective communicator
  • Quickly adaptable to changing environments
  • Confident in challenging/questioning and demonstrating strong risk awareness and culture

About Us
UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.

We know that great work is never done alone. That's why we place collaboration at the heart of everything we do. Because together, we're more than ourselves. Want to find out more? Visit

Join us
At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We're dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That's why collaboration is at the heart of everything we do. Because together, we're more than ourselves.

We're committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

Disclaimer / Policy statements
UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.

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