Regulatory Compliance

給与 : ¥2000万 - ¥2000万
勤務地 : 東京都
掲載日 :
雇用タイプ : 正社員
ジョブオーダー番号 : 21046-FS
業種 : 金融

職務内容 :

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


  • 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



大手センタービル 22F
東京都千代田区大手町 1-1-3
100-0004 東京
電話 : +813 5219 6633