Regulatory Compliance


Salary:

¥20M - 20M / annum

Location:

Tokyo Metropolis

Date Posted:

May 11, 2018

Employment Type:

Permanent

Job Reference:

21046-FS

Staffing Area:

Banking and financial services


Description

Duties & Responsibilities

  • Overseeing securities regulatory compliance
  • Advising and providing guidance on compliance matters to the front office
  • Liaising with the relevant regulatory bodies such as the Financial Services Agency, JSDA and inspections by external regulatory bodies
  • implementation of in-house training
  • implementation of compliance monitoring
  • compliance planning of tasks and projects related to a securities companies, including planning and promotion

Requirements

  • Regulatory and Central Compliance experience at a securities firm
  • Japan Securities Dealers Association internal management responsibility qualifications acquired
  • Relevant experience gained in financial institutions (banks and/or securities firms)or regulatory agency
  • Sound knowledge of the relevant laws and regulations of Japan
  • Good knowledge of securities products and markets
  • Ability to manage multiple priorities while maintaining attention to detail under pressure
  • Ability to develop and maintain business relationships within the business unit and across the corporation
  • Good communication skills in Japanese and English



Tokyo

Ote Center Bldg, 22F 1-1-3 Otemachi Japan, Tokyo 100-0004 +813 5219 6633
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