Head of Legal and Compliance

• We are looking for an experienced Head of Legal & Compliance to guide the legal and compliance efforts for a leading financial services company. This role is crucial as the company grows in Japan. It offers a competitive salary, flexible hours, and the chance to play a key role in the company's expansion.

• - Work with senior leaders to create and improve compliance and risk management strategies for online brokerage activities.
• - Lead efforts to ensure the company follows all relevant laws and regulations, including managing licensing.
• - Develop compliance policies, lead committees, and encourage a company-wide focus on compliance.
• - Act as the main contact for regulatory bodies, handle audits and inquiries, and protect the company’s interests.
• - Provide training on regulatory updates and best practices to promote compliance across the company.
• - Prepare reports for the Board of Directors and manage responses to regulatory changes or operational issues.
• - Offer legal and compliance advice for new products, partnerships, and market growth.
• - Draft, review, and negotiate legal documents and manage relationships with outside legal advisors.
• - Participate in company-wide projects and take on other responsibilities as needed.

• - Bachelor’s degree in Law, Accounting, Business, or Finance.
• - 8-10 years of experience in legal and compliance roles, especially in broker-dealer, securities, or fintech sectors.
• - Strong understanding of licensing and regulatory needs for online securities brokerage, with a focus on Japanese equity.
• - Experience in building compliance and risk systems, preferably in a start-up or fast-growing company.
• - Strong leadership skills, able to work independently, and communicate well with regulatory authorities and senior management.
• - Skilled in drafting and reviewing legal contracts.
• - Excellent communication skills, fluent in English and Japanese.

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