仕事内容:
About our client
Our client connects clients to the global financial markets through a comprehensive range of services, including institutional-grade platforms, end-to-end clearing and execution, post-trade settlement, market intelligence, and local expertise. As a Fortune 100 company with a nearly century-long track record, our client, with over 3,600 employees, serves more than 54,000 commercial, institutional, and payments clients, and over 400,000 retail accounts from more than 80 offices across six continents.
Job Purpose:
To support the exciting growth of the business, the Compliance department in the Japan office is seeking to hire a suitably qualified individual for the role of Senior Compliance Associate - Japan.
General Duties:
Reporting to and working closely with the Head of Compliance – Japan, the role encompasses all aspects of regulatory obligations to maintain the necessary licenses. Key responsibilities include regulatory compliance, compliance advisory, compliance monitoring, and anti-financial crime compliance.

• Maintain Compliance Risk Assessments to ensure adherence to the latest regulatory risk exposures.
• Assist in documenting policies to articulate regulatory obligations and establish controls through first-line functions' procedures.
• Contribute to the preparation and implementation of the Annual Compliance Plan for Board approval, alongside the Compliance Monitoring Program.
• Collaborate with regulatory agencies (FSA and JSDA) and participate in internal and external audits as required.
• Stay informed on FIEA, FETA & AML Act legislation relevant to securities dealing and brokerage, including CFDs, over-the-counter derivatives, and foreign exchange transactions.

Qualifications and Skills:
Qualifications:

• Tertiary qualifications, including a Diploma, Degree, or Professional Qualifications.
• Experience in a Compliance role for an FSA and/or JSDA regulated entity.
• Fluency in spoken and written Japanese.
• Proficiency in spoken and written English.
• Proficiency in Microsoft Outlook, Word, and Excel.

Skills:

• Strong team player and key contributor.
• Excellent attention to detail.
• Ability to work under tight deadlines.
• Comfortable using PC-based enterprise applications.
• Friendly, humble, and cordial for engagement with multiple stakeholders.
• Decisive with a firm decision-making approach, and willing to assume responsibility and accountability.

その他:
雇用形態: 正社員
給与・報酬: 8,000,000円 - 15,000,000円 年収