- Expanding business with good career prospects
- Competitive salary
About Our Client
Our client is a global broker-dealer with an established presence in Japan and holds a Type 1 Financial Instruments Business Operator license from the JFSA. They provide direct market access to institutional investors and professional traders across multiple asset classes including equities, fixed income, futures & options.
- Provide support to the Head of Compliance and Senior Compliance Officer in the following areas:
- Monitoring effectiveness of compliance policies & procedures, internal control and compliance risk by complying with Japan regulations.
- Conducting internal investigations on potential violations of compliance policies and procedures.
- Providing training for employees on changes to 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.
- Ensuring the local compliance risks are identified, assessed, and reported, including proper documentation and follow up.
- Providing advisory and support of various aspects of the business in Japan regarding compliance and regulatory matters.
- Reviewing new product and business initiatives to implement new rules and regulations internally to ensure the business are complying with Japan regulations.
- Communicating and interacting with the regulators.
The Successful Applicant
- 3+ years of experience within a regulated financial institution
- Experience working in a Type 1 Financial Instruments Business Operator preferred
- Fundamental knowledge of relevant Japanese laws, regulations and risks
- Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- Strong written and verbal communication and interpersonal skills in Japanese and English
- Team player with the ability to work both collaboratively and independently
- Proven ability to work in a fast-paced, ever changing environment
What's on Offer
- Competitive salary
- International work environment
- Good career prospects
- Located in central Tokyo