Compliance Manager - Forex Broker
New business with good career prospects
International work environment reporting to global HQ
About Our Client
Our client is a global online broker focused primarily on Forex and Derivatives. They are a Type 1 licensed financial institution that is launching a new business in Japan and is seeking an experienced compliance officer as part of their expansion plans.
- As a standalone compliance officer, assume overall responsibility for the compliance function in Japan
- Provide compliance advice and support to the business to ensure compliance with local laws and internal policies and procedures
- Advise on compliance-related issues relating to AML, KYC and marketing advertisements etc.
- Responsible for compliance monitoring and surveillance
- Build and maintain good working relationships with the local regulators
- Oversee the management of complaints from clients with and ensure appropriate mitigating actions are adopted by the business
- Stay up-to-date with regulatory changes and ensure policies and procedures are updated accordingly
- Participate in ad-hoc projects and tasks as and when required
The Successful Applicant
- 5+ years of Compliance experience within financial services, preferably with experience working in a Type 1 licensed Financial Instruments Business Operator
- Good working knowledge of relevant Japanese laws and regulations
- Knowledge of financial products, particularly Foreign Exchange and Derivatives
- Oral and written fluency in both written and spoken English and Japanese.
- Ability to work independently and efficiently.
- Strong organization, communication and interpersonal skills
- Ability to work effectively with and influence staff at all levels.
What's on Offer
- New business with good career prospects
- Broad responsibilities
- Competitive salary
- Functional reporting line to global HQ