Compliance Officer - Global Bank and Securities

Tokyo 23 Wards Permanent Foreign Multinational
  • Stable work environment
  • Competitive salary package

About Our Client

Our client is a global financial institution with a stable, established presence in Japan. They provide a range of banking and securities products and financial solutions for their corporate and institutional clients.

Job Description

  • Preparation and support for routine day-to-day administrative work with Compliance manager in Japan and regional team in APAC
  • Preparation for local Compliance filling and reporting in relation to Compliance issues for local regulators in Japan
  • Provide advice to the business on internal and external inquiries or Compliance questions
  • Educate and train staff in Japan as required, including any privacy and AML matters
  • Coordinate and respond as appropriate to local regulators, internal and external examination from a Compliance perspective
  • Daily analysis of system generated transactions on electric messaging platforms, trade surveillance systems and global applications
  • Review transaction monitoring in Fixed Income, record the evidence and follow up on any irregular trades

The Successful Applicant

  • 3-5+ years of compliance experience within financial services
  • Knowledge of Japanese laws and regulations related to banking and securities
  • Good interpersonal and communication skills in both Japanese and English
  • Personality to challenge, review and co-ordinate follow up action to reach a successful conclusion
  • JSDA Internal Control and Sales Representative Type 1 preferred

What's on Offer

  • Great opportunity to develop your career in compliance within banking and securities
  • Modern office located in central Tokyo
  • International work environment
  • Good career prospects
Andy Clubbe
Quote job ref
Phone number
+813 6832 8671

Job summary

Banking & Financial Services
Compliance & Legal
What is your area of specialisation?
Financial Services
Tokyo 23 Wards
Job Type
Consultant name
Andy Clubbe
Consultant phone
+813 6832 8671
Job Reference
Company Type
Foreign Multinational