Japan Compliance Officer - Global Online Brokerage

Tokyo 23 Wards

Permanent

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Bullet points

New business in Japan with good career prospects
International work environment

About Our Client

Our client is a global online broker focused primarily on Equities, ETFs, FX and Commodities. They are launching a new business in Japan and are seeking an experienced compliance officer as part of their expansion plans.

Job Description

Work closely with external counsel to file relevant regulatory documents with the FSA to obtain a Type 1 Financial Instruments Business Operator (FIBO) license
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 Equities, ETFs and FX
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