Chief Compliance Officer (Securities/Investment business) - 27M Yen Base

Chief Compliance Officer チーフコンプライアンスオフィサー - Securities/Investment (27M Yen Base, Hybrid)

Our client, a leading fintech company, is seeking a Chief Compliance Officer for their newly established securities and investment business in Tokyo. This high-impact leadership role offers the opportunity to shape the launch and development of capital markets products in Japan, working closely with global teams and Japanese regulators. The position offers a competitive salary of up to 27M Yen base with additional bonuses, and a hybrid work setup.

Key Responsibilities:

- Lead regulatory engagement with KLFB and FSA
- Oversee Type 1 FIBO license acquisition and maintenance
- Develop and enhance compliance frameworks and governance structures
- Conduct compliance monitoring and testing activities
- Prepare management reports on regulatory and compliance risks
- Act as Chief Internal Control Officer for Japan
- Educate stakeholders on Japanese regulatory requirements
- Collaborate with global teams on compliance integration

Qualifications:

- 10+ years compliance experience in securities firm or Type 1 FIBO
- Expertise in Japanese financial regulations, FIEA, FSA, JSDA
- Experience with KLFB and/or FSA
- Business-level to fluent Japanese and English communication skills
- Compliance Officer qualification (内部管理責任者資格)
- Securities Representative License (証券外務員資格)
- Experience with fintech or digital financial services is preferred but not mandatory
- Experience with investments or capital markets products is preferred but not mandatory
- Experience designing compliance processes across multiple jurisdictions is preferred but not mandatory

If this position is not ideal for you, but you are looking for a new opportunity,please contact us to discuss your options.