- Opportunity to work closely with the regional compliance team
- Competitive salary
Our client is a global brokerage firm that provides an online trading platform providing access to multi asset classes in Japan and throughout the world.
- Provide compliance support and advice on a broad range of matters to ensure business activities are conducted in line with applicable laws, regulations and internal policies.
- Advise on compliance-related issues relating to licensing, AML, KYC, product development and marketing advertisements etc.
- Plan and execute compliance and AML controls, monitoring and surveillance
- Support and manage client complaints, litigation, dispute resolution and settlement negotiation
- Review and advise the business units on the impact of new and upcoming laws and regulations
- Liaise and manage relationships with Japan regulators and auditors
- Regularly review and keep up-to-date relevant internal policies and procedures as well as client terms and agreements
- Work closely with various compliance colleagues within the region and to ensure the local compliance framework meets the expected global minimum standards
- 10+ years of compliance experience within a regulated financial institution in Japan
- Proven knowledge and experience of Japanese financial regulations
- Experience dealing with the local regulators as a key point of contact
- Oral and written fluency in Japanese and English
- Strong organization, communication and interpersonal skills, including ability to work effectively with global staff at all levels of seniority
- Competitive salary package.
- Broad exposure across the business
- Opportunity to work closely with regional compliance team