Compliance Manager- up to VP (Equity Services)

Compliance Officer - (Advisory/Equity)

Level: up to VP

Role Overview:

My client, a prestigious global financial institution, is looking to expand their equity compliance capabilities as part of a strategic initiative. They are seeking a talented individual with a deep understanding of JSFA and BOJ equity regulations. The team is comprised of 3 team members, with this position reporting into the Compliance Director for the Equity Division.

Key Responsibilities:

• Advisory and policy-making for the equity business in Japan
• Conduct compliance guidance in line with regulators and the firms' internal policies
• Conduct investigations and audits. Assess and address related risks
• Ensure new instrument and product approval are within compliance guidelines
• Train employees on compliance regulations and advise of any policy updates

Qualifications, Skills & Requirements:

• Strong communication skills in both Japanese and English
• JSDA Type-1 qualification
• More than four years' related compliance experience
• Ability to work under pressure and prioritize tasks effectively
• Detail-oriented with strong analytical skills

If you are interested, please apply.