We are looking for a Senior Compliance Officer to lead compliance efforts in our brokerage operations in Japan. This key role involves planning, working with regulators, and managing risks. You will report to the Head of Compliance and need to ensure we meet Japanese regulatory standards. The role offers a good salary, bonuses, insurance, and annual leave. The office is modern and easy to reach by metro. You will have growth opportunities in a global environment and benefit from a hybrid work setup that supports work-life balance.
Key Responsibilities:
- Lead and develop the Japan Compliance team, focusing on managing risks.
- Oversee daily operations of the compliance department.
- Provide internal training on compliance topics.
- Work with the Head of Compliance to set up and maintain compliance policies.
- Create and manage compliance programs according to Japanese financial laws.
- Develop and carry out an annual compliance plan and monitoring program.
- Conduct regular risk assessments to improve compliance processes.
- Track and document compliance risks and how they are managed.
- Serve as the main contact with Japanese regulatory bodies.
- Handle regulatory filings and respond to inquiries.
- Update compliance strategies based on changes in regulations.
- Oversee Anti-Money Laundering (AML) and Counter Financing of Terrorism (CFT) programs.
- Work with the APAC team on trade surveillance.
- Investigate compliance breaches and suspicious activities.
- Assess new products and services for compliance.
- Offer compliance advice to business units.
- Work with global and regional teams to align compliance efforts.
Qualifications & Skills:
- Native Japanese speaker with fluent English.
- 5-10+ years of compliance experience in a Type I registered firm.
- Deep knowledge of Japanese financial regulations, including AML/CFT.
- Strong analytical and communication skills.
-
Compliance Officer
3週間前
東京都 区, ヘイズ・スペシャリスト・リクルートメント・ジャパン株式会社 ￥12,000,000 - ￥15,000,000 per yearグローバル金融サービスを展開する外資系金融機関の日本拠点で、コンプライアンス体制の設計・運用を統括するキーポジションです。最先端テクノロジーとグローバル標準に触れながら、日本市場における規制対応とリスク管理をリードできます。 · ...
-
Tokyo, Tokyo Colliers ￥4,000,000 - ￥8,000,000 per yearコリアーズは、ナスダックおよびトロント証券取引所に上場する、事業用不動産サービス、エンジニアリングコンサルティング、投資運用を専門とする、大手総合プロフェッショナルサービス会社です。世界70か国で事業を展開し、24,000人のエンタープライズ精神に富んだプロフェッショナルがクライアントに卓越したサービスと専門的なアドバイスを提供しています。求人内容 · 募集背景:業容拡大のため人員増強です · 業務内容: · 売買仲介、賃貸仲介の重要事項説明書のチェック · ,秘密保持誓約書・業務委託契約書等の契約書類のチェック · , , ...
-
Tokyo Colliers ￥2,500,000 - ￥5,000,000 per yearコリアーズは、ナスダックおよびトロント証券取引所に上場する、事業用不動産サービス、エンジニアリングコンサルティング、投資運用を専門とする、世界有数の大手総合プロフェッショナルサービス会社です。世界70か国で事業を展開し、24,000人のエンタープライズ精神に富んだプロフェッショナルが、クライアントに卓越したサービスと専門的なアドバイスを提供しています。 · また、当社株式を保有する経験豊富な経営陣は、約30年間にわたり、年間約20%の複利ベースの投資収益率を株主に提供してきました。年間収益は55億ドル、運用資産は1,080億ドルに達しています。コリアーズ ...
-
Tokyo Colliers Full time￥2,500,000 - ￥5,000,000 per yearコリアーズは、ナスダックおよびトロント証券取引所に上場する、事業用不動産サービス、エンジニアリングコンサルティング、投資運用を専門とする、世界有数の大手総合プロフェッショナルサービス会社です。世界70か国で事業を展開し、24,000人のエンタープライズ精神に富んだプロフェッショナルが、クライアントに卓越したサービスと専門的なアドバイスを提供しています。 · また、当社株式を保有する経験豊富な経営陣は、約30年間にわたり、年間約20%の複利ベースの投資収益率を株主に提供してきました。年間収益は55億ドル、運用資産は1,080億ドルに達しています。コリアーズ ...
-
Tokyo CLSAThe Senior Compliance Officer will be responsible for advising and monitoring the equity and derivatives business. · ...
-
Tokyo Specialized Group ￥2,000,000 - ￥2,800,000 per yearWe are seeking a Senior Compliance Officer for our Tokyo office. This role offers the unique opportunity to lead the application process for Type I and Type II financial services licenses with the Japan FSA. · ...
-
Tokyo Specialized Group ￥6,000,000 - ￥12,000,000 per yearWe are looking for a Senior Compliance Officer to lead compliance efforts in our brokerage operations in Japan. This key role involves planning, working with regulators, and managing risks. You will report to the Head of Compliance and need to ensure we meet Japanese regulatory s ...
-
Tokyo Colliers Full time￥3,600,000 - ￥4,800,000 per yearコリアーズは、ナスダックおよびトロント証券取引所に上場する、事業用不動産サービス、エンジニアリングコンサルティング、投資運用を専門とする、世界有数の大手総合プロフェッショナルサービス会社です。世界70か国で事業を展開し、24,000人のエンタープライズ精神に富んだプロフェッショナルが、クライアントに卓越したサービスと専門的なアドバイスを提供しています。 · また、当社株式を保有する経験豊富な経営陣は、約30年間にわたり、年間約20%の複利ベースの投資収益率を株主に提供してきました。年間収益は55億ドル、運用資産は1,080億ドルに達しています。コリアーズ ...
-
Tokyo Colliers Full time￥900,000 - ￥1,200,000 per yearコリアーズは、ナスダックおよびトロント証券取引所に上場する、事業用不動産サービス、エンジニアリングコンサルティング、投資運用を専門とする、世界有数の大手総合プロフェッショナルサービス会社です。世界70か国で事業を展開し、24,000人のエンタープライズ精神に富んだプロフェッショナルが、クライアントに卓越したサービスと専門的なアドバイスを提供しています。 · 募集背景:業容拡大のため人員増強です · 業務内容: · ・売買仲介、賃貸仲介の重要事項説明書のチェック · ・秘密保持誓約書、業務委託契約書等の契約書類のチェック · ・不動産信託受益権取引の契約締 ...
-
Tokyo Jobs via eFinancialCareers ￥5,000,000 - ￥8,000,000 per yearWe are looking for a Senior Compliance Officer to lead compliance efforts in our brokerage operations in Japan. This key role involves planning, working with regulators, and managing risks. You will report to the Head of Compliance and need to ensure we meet Japanese regulatory s ...
-
Compliance Officer
4週間前
Tokyo Jobs via eFinancialCareers $60,000 - $120,000 per yearA leading global markets infrastructure group is seeking a Compliance Officer to join the Japan Compliance team. · ...
-
Tokyo, Japan Star Anise Limited ￥2,000,000 - ￥2,500,000 per yearWe are seeking a Senior Regulatory Compliance Officer for our client's new venture in Japan. You will be the cornerstone of our market entry strategy and responsible for building the compliance function from scratch. · ...
-
Compliance Officer
1週間前
Tokyo, Tokyo, Japan Mamoru ￥2,000,000 - ￥2,800,000 per yearWe are looking for a Compliance Officer based in Tokyo — ideally candidates with prior experience working with or within Japanese banks or financial institutions, ...
-
Compliance Officer
1ヶ月前
Tokyo AP Capital ￥1,000,000 - ￥1,500,000 per yearAP Capital is a diversified global investment firm trading across equities, commodities, FX, and fixed income. We employ market-neutral strategies to reduce volatility and deliver consistent, risk-adjusted returns, with an expanding presence in frontier markets. · Develop and mai ...
-
Compliance Officer
2ヶ月前
Tokyo Mamoru ￥600,000 - ￥1,200,000 per yearWe are looking for a Compliance Officer based in Tokyo — ideally candidates with prior experience working with or within Japanese banks or financial institutions, who can help us strengthen our local presence and relationships. · Bachelor's degree in business, law, finance, or re ...
-
Compliance Officer
2ヶ月前
Tokyo AP Capital ￥4,000,000 - ￥12,000,000 per yearAP Capital is a diversified global investment firm trading across equities, commodities, FX, and fixed income. We employ market-neutral strategies to reduce volatility and deliver consistent, risk-adjusted returns, with an expanding presence in frontier markets. · Develop and mai ...
-
Tokyo, Japan StoneX ￥3,000,000 - ￥4,200,000 per yearPrimary duties include providing compliance advisory services under supervision of Head of Compliance: preparing reports with regulators; reviewing licensing issues on businesses; liaising with internal/external auditors; performing surveillance on communications/transactions. · ...
-
Compliance Officer
2ヶ月前
Tokyo Hello Clever ￥120,000 - ￥180,000 per yearHello Clever is a fintech company that enables seamless, secure, and rewarding transactions, both in-store and online, driving business growth and enhancing customer experiences. As our new Compliance Officer in Japan, you'll join an open, knowledge-driven culture where everyone ...
-
Compliance Officer
3週間前
Tokyo, Tokyo Fisher Investments ￥9,000,000 - ￥12,000,000 per yearThe Compliance Officer reports to the Chief Compliance Officer and oversees the Fisher Investments Japan Compliance Program. The position ensures compliance with regulatory requirements, policies, and procedures. ...
-
Tokyo CLSA ￥8,000,000 - ￥15,000,000 per yearPrimarily responsible for advising, monitoring, and overseeing the equity and derivatives business, supervising compliance testing, risk inventory maintenance, and risk assessment, managing information control in general, including personal data, transactional data, and other pro ...
-
Tokyo CLSA Full time￥7,400,000 - ￥12,060,000 per year+Senior Compliance Officer will advise monitor oversee equity derivatives business supervise compliance testing risk inventory maintenance risk assessment manage information control assist different lines of business cross selling products providing advice laws regulations creati ...
