Regulatory Compliance


Salary/Rate : ¥20M - ¥20M
Location : Tokyo Metropolis
Post Date :
Employment Type : Permanent
Job Reference : 21046-FS
Job Classification : 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

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Tokyo

Ote Center Bldg, 22F
22F 1-1-3 Otemachi
100-0004 Tokyo
Phone : 03 5219 6633

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