Join a fast-growing global fintech and online brokerage as a Compliance & Regulatory Operations Associate in Tokyo.
This hands-on role supports the day-to-day delivery of regulatory compliance, AML, KYC, transaction monitoring, legal operations, and regulatory controls for the firm's expanding Japan business. You will work across compliance monitoring, financial crime prevention, marketing reviews, regulatory enquiries, and corporate governance.
This is an excellent opportunity for an early-career compliance professional to develop broad expertise within a technology-driven international financial services company, working closely with experienced compliance professionals while gaining exposure to both Japanese regulations and global business operations.
Key Responsibilities
- Execute daily compliance monitoring, transaction surveillance, and regulatory spot checks to ensure adherence to Japanese financial regulations.
- Support Anti-Money Laundering (AML) and Know Your Customer (KYC) processes, client reviews, and applicable licensing requirements.
- Review agreements, maintain current policy and legal templates, and support corporate secretarial preparations for board meetings.
- Review marketing materials, digital advertisements, promotional copy, and website content to ensure compliance with Japanese regulatory requirements.
- Prepare and compile documentation for regulatory enquiries, internal compliance reviews, spot checks, and annual audits.
- Support the investigation, escalation, and resolution of client complaints in line with regulatory and internal governance standards.
- Collaborate with Legal, Compliance, Operations, and business stakeholders to strengthen regulatory controls and support the continued growth of the Japan business.
Required Skills and Qualifications
Experience:
- 2+ years of experience in Legal and/or Compliance within the financial services industry.
- Working knowledge of relevant Japanese financial regulations and fundamental operational risk controls.
- Practical understanding of compliance monitoring, regulatory controls, or related financial services operations.
- Exposure to areas such as AML, KYC, transaction monitoring, regulatory reporting, or legal operations is advantageous.
- Ability to work with policies, agreements, compliance documentation, and regulatory requirements.
- Bachelor's degree or equivalent professional experience.
Soft Skills:
- Strong willingness to learn new financial platforms, systems, and regulatory processes.
- Highly organized approach with strong attention to detail.
- Adaptable and collaborative team player who can operate effectively in a rapidly growing international environment.
- Business-minded approach with the ability to balance regulatory requirements and commercial priorities.
- Strong communication and stakeholder management skills across Legal, Compliance, Operations, and business teams.
Language Requirements:
- Japanese: Fluent written and spoken proficiency is essential.
- English: Business level for communication with international colleagues and stakeholders.
Preferred Skills & Qualifications
- Previous experience in retail brokerage, online trading, e-trading, fintech, or consumer financial platforms.
- Practical exposure to AML, KYC, financial crime compliance, or transaction surveillance.
- Previous experience supporting interactions with Japanese financial regulatory authorities.
- Experience reviewing digital marketing, advertising, or website content from a regulatory compliance perspective.
- Exposure to client complaint management, internal audits, or regulatory examinations.
- Experience working within a technology-driven or international financial services organization.
About the Company
Our client is a modern, technology-driven global retail brokerage and fintech company providing sophisticated trading solutions and multi-asset market access to investors worldwide.
The business combines financial markets expertise with advanced digital technology, creating a fast-moving environment where Compliance, AML, KYC, regulatory operations, and financial crime controls play an important role in supporting sustainable growth.
With its Japan business continuing to expand, the company offers compliance professionals the opportunity to develop alongside an international organization while gaining broad exposure across legal, regulatory, and operational compliance.
Why You'll Love Working Here
- Join a rapidly expanding global fintech and online brokerage growing its presence in Japan.
- Build broad expertise across Compliance, AML, KYC, regulatory operations, legal support, and financial crime controls.
- Gain hands-on exposure to Japanese financial regulations and regulatory compliance processes.
- Develop your compliance career with close mentorship from experienced professionals.
- Work in a technology-focused environment combining financial markets, fintech, and digital trading.
- Gain valuable international exposure through collaboration with global colleagues and stakeholders.
- Take on increasing responsibility as the firm's Japan operations continue to scale.
- Enjoy flexible working hours within a vibrant and highly international environment.
Don't Miss Out - Apply Now!
