Compliance Assistant - Global Broker Dealer

Tokyo 23 Wards Permanent Foreign Multinational
  • Competitive salary
  • Expanding business

About Our Client

Our client is a global broker dealer holding a Type 1 Financial Instruments Business license in Japan. They provide direct trade execution and clearing services for electronically traded products across multiple asset classes

Job Description

Provide support to the compliance team, including:

  • Monitor effectiveness of compliance policies and procedures, internal control and compliance risk to ensure compliance with Japanese regulations
  • Conduct internal inspections and investigations on potential violations of compliance policies and procedures
  • Support training for employees and consultants on changes and updates on any compliance related matters
  • Communication with other departments in order to provide timely and value-added guidance and advice to those parties on compliance-related matters
  • Ensure local compliance risks are identified, assessed and reported, including proper documentation and follow up
  • Identify and report compliance issues that may require investigation
  • Provide advisory and support of various aspects of the business in Japan regarding compliance and regulatory matters
  • Review new product and business initiatives to implement new rules and regulations internally to ensure the business are complying with Japan regulations
  • Communicate and interact with the regulators
  • Update changes or new Japan regulations that come into place and act accordingly

The Successful Applicant

  • 3+ years of compliance (or related experience) within a regulated financial institution in Japan
  • Knowledge and experience of Type 1 Financial Instruments Business
  • Oral and written fluency in Japanese and English

What's on Offer

  • Competitive salary package
  • Located in central Tokyo
  • Expanding business with good career prospects

Andy Clubbe
Quote job ref
Phone number
+813 6832 8671

Job summary

Banking & Financial Services
Compliance & Legal
Financial Services
Tokyo 23 Wards
Job Type
Consultant name
Andy Clubbe
Consultant phone
+813 6832 8671
Job Reference
Company Type
Foreign Multinational