Compliance Manager - Cash Equities Tokyo

A leading global financial institution is seeking an experienced Compliance Manager - Cash Equities to support its investment banking and securities business in Tokyo.

This highly visible role sits at the intersection of front-office compliance, Japanese financial regulation, cash equities, and regulatory risk management. You will act as a trusted compliance advisor to front-office teams while managing interactions with key Japanese regulatory and self-regulatory authorities, including the Financial Services Agency (FSA), Tokyo Stock Exchange (TSE), and Japan Securities Dealers Association (JSDA).

Working closely with regional and global risk and compliance teams, you will monitor regulatory developments, strengthen internal controls, and help maintain a robust compliance and governance framework for an international capital markets business.

Key Responsibilities

• Provide proactive compliance advice and regulatory guidance to front-office teams across cash equities and investment banking businesses.
• Coordinate regulatory enquiries and support inspections and examinations involving Japanese authorities and organizations such as the FSA, TSE, and JSDA.
• Conduct regular compliance reviews, monitoring, and control assessments to identify potential weaknesses and strengthen the overall compliance framework.
• Collaborate with regional and global Risk and Compliance teams on cross-border regulatory and risk management initiatives, ensuring consistency with global standards.
• Monitor evolving Japanese financial regulations, anticipate emerging compliance risks, and develop appropriate mitigation measures.
• Partner with business and control functions to strengthen governance and ensure regulatory requirements are effectively embedded within day-to-day operations.
• Support the continuous enhancement of policies, controls, monitoring processes, and broader regulatory compliance practices.

Required Skills and Qualifications

Experience:

• 5+ years of relevant Compliance experience within cash equities, securities brokerage, investment banking, or a related capital markets environment.
• Strong understanding of Japanese securities regulations, compliance controls, and regulatory expectations.
• Experience providing compliance guidance to front-office or capital markets teams.
• Candidates with relevant backgrounds in trade surveillance or trade support will also be considered.
• Experience supporting regulatory enquiries, inspections, examinations, or interactions with Japanese financial authorities is highly valuable.
• Ability to assess regulatory and compliance risks and translate requirements into practical controls and business guidance.
• Bachelor's degree or equivalent professional experience.

Soft Skills:

• Excellent analytical and problem-solving skills, with the ability to quickly understand and interpret complex regulatory and business matters.
• Strong stakeholder management skills for working effectively with front-office professionals, senior management, regulators, and control functions.
• Proactive and commercially aware approach to providing practical compliance solutions.
• Ability to operate independently and take ownership within a highly regulated international environment.
• Strong collaboration skills for working across regional and global teams.

Language Requirements:

• Japanese: Fluent / native-level proficiency for regulatory and business communication.
• English: Fluent professional proficiency for communication with regional and global stakeholders.

Preferred Skills & Qualifications

• Direct compliance experience within Cash Equities, Equities, Securities Brokerage, or Investment Banking.
• Experience in trade surveillance, trade monitoring, or trade support within securities or capital markets.
• Practical experience interacting with the FSA, TSE, JSDA, or other Japanese regulatory and self-regulatory organizations.
• Experience working within a global investment bank, securities firm, or international financial institution.
• Exposure to cross-border compliance, regional risk management, or global governance initiatives.

About the Company

Our client is a premier global financial services and investment banking institution operating across approximately 30 markets, with a track record spanning more than 50 years.

The organization combines deep capital markets expertise with a strong global risk and governance network. Its international platform provides professionals in Japan with opportunities to work closely with senior stakeholders, front-office teams, regulators, and regional colleagues while developing specialist expertise in securities compliance and capital markets regulation.

Why You'll Love Working Here

• Take a highly visible Compliance Manager role supporting Cash Equities and Investment Banking in Japan.
• Serve as a trusted compliance advisor to front-office teams and regional leadership.
• Gain direct exposure to leading Japanese authorities and organizations, including the FSA, TSE, and JSDA.
• Develop deeper expertise across securities regulation, equities compliance, trade surveillance, and regulatory risk.
• Work closely with an established regional and global Risk and Compliance network.
• Take meaningful ownership in an environment where individual initiative and sound judgement are valued.
• Gain valuable cross-border exposure through collaboration with international stakeholders.
• Benefit from a hybrid working model, remote work options, and flexible working arrangements.

Don't Miss Out - Apply Now!