Senior Compliance Officer - Investment Banking Tokyo

A leading global securities firm with a strong presence in Asia is seeking a Senior Compliance Officer to support its investment banking and securities business in Tokyo. This is a hands-on, business-facing compliance role where you will connect regulatory requirements with frontline operations, advising directly on equities and derivatives activities in a highly international environment.

Key Responsibilities

• Provide compliance advice, monitoring, and oversight for equities and derivatives business activities.
• Lead compliance testing, risk inventory management, and supervision of risk assessments.
• Oversee firm-wide information governance, including personal data, transaction data, and confidential business information.
• Support cross-selling initiatives by advising on regulatory requirements and helping build internal control processes.
• Review sales and marketing materials such as research reports, pitch books, and client memos.
• Assist with client onboarding, including KYC processes, regulatory interactions, and daily compliance support.
  

Required Skills and Qualifications

Experience:

• Minimum 5 years of legal and/or compliance experience within a financial institution.
  

Soft Skills:

• Strong problem-solving ability with excellent multitasking skills.
• Team-oriented mindset with a proactive and inquisitive approach to work.

Language Requirements:

• Japanese: Fluent or Native level.
• English: Business-level proficiency in reading, writing, and speaking.

Preferred Skills & Qualifications

• Knowledge of operations, finance, or IT within financial services.
• Legal qualification (law license) is a plus.
• Product knowledge in areas such as derivatives, M&A, commodities, funds, and public/private offerings.

About the Company

Our client is a global investment banking and securities firm known for its agility, international culture, and strong footprint across Asia. With a lean and high-performing team, the firm offers significant autonomy and the opportunity to work closely with the business, directly supporting revenue-generating activities.

Why You'll Love Working Here

• Competitive compensation
• Broad exposure across advisory, monitoring, and regulatory engagement.
• Opportunity to support equities and derivatives businesses at the frontline.
• Long-term career growth with the ability to cover multiple compliance domains.
• Flexible working style including remote work, casual dress, and flex time.
  
  

Don't Miss Out - Apply Now!