CLIENT BACKGROUND
A leading global fintech platform specializing in alternative investments is expanding its footprint in Japan. With a strong international presence and a commitment to innovation, the firm is in the process of securing regulatory licenses to operate in Japan. This newly created role offers a unique opportunity to be the first compliance professional on the ground, shaping the regulatory framework and compliance culture from the ground up.
JOB RESPONSIBILITY
As the VP of Compliance, you will play a pivotal role in establishing and overseeing the firm's regulatory and compliance operations in Japan. Key responsibilities include:
- Leading the end-to-end process for obtaining Type I and Type II financial services licenses from the Japan FSA.
- Designing and implementing a robust compliance strategy aligned with the firm's growth objectives.
- Acting as the primary liaison with regulators, legal counsel, auditors, and industry bodies.
- Developing internal controls and monitoring systems to ensure full regulatory compliance.
- Serving as the firm's AML Officer in Japan, overseeing client and vendor onboarding practices.
- Providing compliance training and advisory support to senior management and business teams.
- Collaborating with global compliance colleagues to ensure consistency across jurisdictions.
JOB REQUIREMENTS
We are seeking a seasoned compliance professional with:
- Minimum 5 years of experience in legal, compliance, or regulatory roles within FSA-regulated financial institutions, ideally with a global outlook.
- Deep understanding of Japanese financial regulations and cross-border compliance matters.
- Native-level Japanese language proficiency and fluency in English for international collaboration.
- Strong interpersonal and communication skills, with a proactive and collaborative mindset.
- Ability to thrive in a fast-paced, entrepreneurial environment and contribute to a growing business.
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