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Compliance Manager- up to VP (Equity Services)

Job Details

Location: Japan
Salary: Negotiable
Job Type: Permanent
Specialization: Banking, Financial Services & Vendors, Legal & Compliance
Reference: BBBH45285_1689920639

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.

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

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