Our client, a prestigious global financial services leader is seeking a Senior Regulatory Compliance Officer for their exciting new venture in Japan. This is a rare opportunity to be the first compliance hire on the ground, tasked with building the function from scratch and shaping the ethical and regulatory framework of the new entity.
The Opportunity:
You will be the cornerstone of our client's market entry strategy. Reporting directly to the Head of Compliance & Legal (HK) with a dotted line to the Japan CEO, you will have unparalleled autonomy and responsibility. Your primary mission will be to navigate the Japanese regulatory landscape, secure the necessary Type 1 Financial Instruments Business Operator license, and establish a best-in-class compliance program.
Key Responsibilities
- Act as the primary liaison with the JFSA and other regulators, managing all communications, license applications, and inspections.
- Develop, implement, and maintain all compliance policies, procedures, and controls from the ground up.
- Provide strategic guidance to senior management in Japan and the region on all regulatory matters, including new business and product initiatives.
- Design and execute the annual compliance monitoring and risk assessment program.
- Oversee all aspects of AML/CFT compliance and client onboarding processes.
- Build and maintain strong relationships with regulators, external counsel, and internal stakeholders across the global organization.
- Lead compliance training and foster a strong culture of integrity and compliance within the new Japan team.
Your Profile
- A resident of Japan holding a degree from a reputable university
- Minimum of 10 years' experience within financial services, with at least 5 years in a compliance, legal, or audit role focused on securities
- Familiarity with Japanese securities industry regulations and market practices
- Direct, hands-on experience interfacing with Japanese financial regulators especially on Type 1 licensing matters
- Strong business-level English communication skills (both written and verbal)
- Project management skills, particularly in regulatory licensing applications is highly desirable
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