About the Company

The Japan entity operates as part of a global online financial services group headquartered in London with over 50 years of history.

The group is widely recognized as a leading online trading provider, known for award-winning trading platforms and mobile applications.

In Japan, the entity offers online trading services for OTC derivatives such as FX and CFDs, and is regarded as one of the leading foreign-owned brokers in the Japanese OTC derivatives market.

Role Overview
The Head of Compliance is a senior leadership role responsible for overseeing all compliance activities across the Japan business.

The position acts as the strategic compliance lead for Japan and as a commercial partner to the business, ensuring strategic execution while maintaining regulatory adherence.

Primary Accountabilities
Lead and develop a team of five compliance professionals, ensuring strong leadership and effective resource management.
Oversee all compliance management and ensure adherence to applicable financial services laws and regulations.
Provide strategic leadership and contribute to a positive and aligned office culture.

Key Responsibilities

• Strategic Compliance Leadership

Design and implement comprehensive compliance programs to ensure full regulatory adherence.
Provide strategic compliance advice supporting business goals within regulatory limits.
Interpret and implement regulatory changes in alignment with the group's standards.
Lead compliance input on transformation programs and business change initiatives.
Advocate for fair client outcomes and maintain high conduct standards.
Contribute to the entity's risk appetite and risk management frameworks.
Lead compliance for new product rollouts.
Identify commercially aligned opportunities within appropriate risk parameters.
Identify and drive process improvements across compliance workflows.

• Operational Compliance Oversight

Provide second-line oversight for financial services and material operational decisions.
Oversee the AML/CTF compliance programs.
Oversee complaint handling frameworks.
Implement financial promotions approval processes.
Manage regulatory correspondence and inquiries.
Ensure timely, accurate regulatory reporting.
Manage conflicts of interest and conduct risk frameworks.
Implement and maintain the Compliance Training Program.

• Regulatory Relationship Management

Lead relationships with key external stakeholders and regulatory bodies.
Represent the company in regulatory consultations and industry discussions.
Manage relationships with audit partners, vendors, and key industry participants.
Serve as primary contact for licensing and authorization matters.

• Leadership and Governance

Participate as part of the Japan Leadership Team.
Represent the Japan entity in regional and global compliance committees.
Promote the group's values, purpose, and strategy internally.
Prepare high-quality Board and management reporting on compliance matters.

Person Specification

• Essential Experience

10+ years' experience in financial markets with progression into senior compliance roles.
Deep knowledge of financial regulations and AML/CTF frameworks.
Proven capital markets compliance experience.
Experience managing compliance teams and influencing senior stakeholders.
Experience implementing robust compliance frameworks in complex environments.
Strong stakeholder management including regulators and external partners.
In-depth understanding of Japanese financial services and regulatory expectations.

• Essential Qualifications

Bachelor's degree in Commerce, Law, Finance, or related fields.

• Key Competencies & Skills

Technical Skills:
Fluent English ability.
Strong understanding of derivatives, securities, and trading operations.
Expert knowledge of Japanese financial regulatory frameworks.
Strong risk assessment and mitigation skills.
Proficiency with compliance technology and regulatory reporting tools.
Ability to balance commercial and regulatory priorities.


Leadership & Management:
Proven ability to build and develop high-performing teams.
Autonomous decision-making in complex situations.
Strategic thinking and business acumen.
Effective delegation and resource management.
Experience with transformation and change management.
Cross-cultural leadership in global settings.


Communication & Interpersonal:
Excellent written and verbal communication skills.
Strong stakeholder management and negotiation ability.
Board-level presentation experience.
Ability to translate complex regulatory requirements into practical business guidance.


Personal Attributes:
High integrity and ethical judgement.
Resilient problem-solver.
Collaborative leadership style.
Commitment to continuous learning.
Client-focused while maintaining strong compliance discipline.

Working Conditions & Additional Information
Direct reporting to CEO, Japan; matrix reporting to regional Head of Compliance.
Responsible for a compliance team of five.
Occasional domestic and international travel may be required.
Standard business hours with flexibility required for global operations.

Key Performance Indicators
All licenses and authorizations maintained with no adverse regulatory actions.
Effective implementation of regulatory changes.
High-quality, timely compliance reporting and Board submissions.
Strong team engagement and performance.
Business goals achieved while maintaining compliance.
Demonstrated leadership in compliance-driven business improvements.
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