A leading global financial services firm is seeking a Core Compliance Specialist to support day-to-day compliance operations in Tokyo. This role focuses on regulatory filings, internal policy support, compliance training, and monitoring business conduct to ensure full adherence to Japanese securities laws. You will collaborate with stakeholders across the organization while contributing to the firm's global compliance efforts.
Key Responsibilities
- Prepare and submit periodic and ad hoc regulatory filings to authorities
- Distribute daily regulatory updates and compliance notices to stakeholders
- Support compliance initiatives including policy maintenance, employee training, and registrations
- Monitor employee trading activities and outside business interests
- Respond to complaints and assist in identifying areas for compliance process improvement
Required Skills and Qualifications
Experience:
- 5-7 years of experience in compliance, risk management, or regulatory-related functions
- Familiarity with Japanese securities laws and financial regulations
- Experience supporting regulatory examinations or internal audits
Technical Skills:
- Strong understanding of compliance frameworks and reporting systems
Soft Skills:
- Highly organized, proactive, and detail-oriented
- Effective communicator in both English and Japanese
- Ability to prioritize, multitask, and work collaboratively across departments
Language Requirements
- Japanese: Fluent
- English: Fluent
Preferred Skills & Qualifications
- Background in securities or financial institutions' compliance teams
- Knowledge of internal control systems and global compliance best practices
- Eagerness to learn and contribute to ongoing process optimization
About the Company
Our client is a global financial services firm offering a wide range of investment banking, securities, and asset management solutions. Known for its commitment to integrity, diversity, and client success, the firm maintains a strong presence in Japan and provides a dynamic environment for professionals to grow their careers.
Why You'll Love Working Here
- Competitive salary with opportunities for advancement
- Collaborative and ethical workplace culture
- Strong emphasis on diversity and inclusion
- Clear career development pathways and training support
- Balance between high-impact work and a supportive team atmosphere
Don't Miss Out - Apply Now!
