Compliance Assistant - Global Broker-Dealer

Tokyo 23 Wards Permanent Foreign Multinational
  • 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.

Job Description

  • 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
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