Vice President Compliance Officer

勤務地 東京都
業界・業種 会計・経理・財務
契約タイプ Permanent
給料 Negotiable
参照番号 55881

Compliance Officer – Tokyo

Department: Legal & Compliance

Reports to: Head of Legal & Compliance, Japan

Location: Tokyo, Japan

About the Role

A global financial institution is seeking a Compliance Officer to support its Legal & Compliance Department in Tokyo. This role ensures that all business activities comply with relevant laws, regulations, and internal policies, while closely coordinating with overseas compliance teams.

The ideal candidate will have solid experience in compliance within the financial services industry, particularly under Japan’s regulatory framework governing securities and investment banking businesses.

Key Responsibilities

  • Develop, enhance, and execute compliance-related functions

  • Provide compliance advisory support to business units and operational teams

  • Review new business and product proposals from regulatory and best‑practice perspectives

  • Monitor business activities through communication, desk reviews, and surveillance

  • Oversee KYC processes, anti‑money laundering compliance, and financial crime prevention

  • Liaise with government agencies, regulators, and self‑regulatory organizations

  • Support regulatory examinations and respond to regulatory inquiries

  • Deliver compliance training to business and support teams

  • Maintain close communication with overseas teams for periodic and ad-hoc reporting

  • Handle ad-hoc compliance matters or projects as assigned by the Head of Legal & Compliance

Knowledge Requirements

  • Strong understanding of Japan’s financial regulatory environment, including securities and investment banking rules

  • Thorough knowledge of relevant laws such as the Financial Instruments and Exchange Act and AML-related regulations

  • Familiarity with primary and secondary securities markets, including middle/back‑office processes and compliance frameworks

  • Experience with cross‑border transactions involving institutional or professional investors

Skills & Abilities

  • Strong sense of compliance regarding primary and secondary markets

  • Ability to balance a detailed approach with an understanding of the overall business

  • Strong organizational skills, confidence, and professional integrity

  • Ability to work collaboratively and communicate across different business functions

  • Self‑motivated, proactive, and able to work under pressure

  • Native-level Japanese and strong English communication skills (verbal & written); able to actively participate in meetings with overseas colleagues

Qualifications

  • Bachelor’s degree or higher

  • Minimum 5 years of experience in legal and compliance within a licensed financial services institution

  • Relevant regulatory or professional qualifications required (e.g., industry-standard compliance or sales representative certifications)

  • No history of administrative disciplinary action by regulatory authorities