Regulatory Compliance


Salary:

¥20M - 20M / annum

Location:

Tokyo

Date posted:

November 2, 2018

Employment type:

Permanent

Job reference:

21046-FS

Specialisation:

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
Chiyoda-ku, Tokyo
100-0004
+813 5219 6633
Database Engineer
Tokyo
Permanent
March 25, 2019
CRM Strategy Analytics Director
Tokyo
Permanent
March 25, 2019
Marketing Manager
Tokyo
Permanent
March 25, 2019
Country IT Manager
Tokyo
Permanent
March 25, 2019
(Senior) Finance Manager
Tokyo
Permanent
March 22, 2019
Senior Finance Manager
Tokyo
Permanent
March 22, 2019
Accountant
Tokyo
Permanent
March 22, 2019
Project Manager
Tokyo
Permanent
March 22, 2019
Enterprise Architect
Tokyo
Permanent
March 22, 2019
Senior Associate or Associate
Tokyo
Permanent
March 22, 2019
Controller
Tokyo
Permanent
March 22, 2019
Future Finance Business Partner
Tokyo
Permanent
March 22, 2019
Financial Compliance Leader
Tokyo
Permanent
March 22, 2019
SOX Manager
Tokyo
Permanent
March 22, 2019
See more jobs >