Description

Senior Compliance Officer - Brokerage

We are looking for a Senior Compliance Officer to lead compliance efforts in our brokerage operations in Japan. This key role involves planning, working with regulators, and managing risks. You will report to the Head of Compliance and need to ensure we meet Japanese regulatory standards. The role offers a good salary, bonuses, insurance, and annual leave. The office is modern and easy to reach by metro. You will have growth opportunities in a global environment and benefit from a hybrid work setup that supports work-life balance.

Key Responsibilities:

• - Lead and develop the Japan Compliance team, focusing on managing risks.
• - Oversee daily operations of the compliance department.
• - Provide internal training on compliance topics.
• - Work with the Head of Compliance to set up and maintain compliance policies.
• - Create and manage compliance programs according to Japanese financial laws.
• - Develop and carry out an annual compliance plan and monitoring program.
• - Conduct regular risk assessments to improve compliance processes.
• - Track and document compliance risks and how they are managed.
• - Serve as the main contact with Japanese regulatory bodies.
• - Handle regulatory filings and respond to inquiries.
• - Update compliance strategies based on changes in regulations.
• - Oversee Anti-Money Laundering (AML) and Counter Financing of Terrorism (CFT) programs.
• - Work with the APAC team on trade surveillance.
• - Investigate compliance breaches and suspicious activities.
• - Assess new products and services for compliance.
• - Offer compliance advice to business units.
• - Work with global and regional teams to align compliance efforts.

Qualifications & Skills:

• - Native Japanese speaker with fluent English.
• - 5-10+ years of compliance experience in a Type I registered firm.
• - Deep knowledge of Japanese financial regulations, including AML/CFT.
• - Strong analytical and communication skills.