Head of Compliance - Global Online Trading

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

About Our Client

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.

Job Description

  • 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

The Successful Applicant

  • 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

What's on Offer

  • Competitive salary package.
  • Broad exposure across the business
  • Opportunity to work closely with regional compliance team
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