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Head of Compliance

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Job Description

A new opportunity as Head of Compliance at a smaller financial institution, supporting the CEO with the development of effective compliance governance and control.


  • We are seeking a motivated compliance manager to join our dynamic team in Japan. As a key contributor to the success of our Compliance Department, you will play a crucial role in ensuring adherence to regulatory requirements and internal policies. You will collaborate with various stakeholders to support the achievement of team goals and business strategies.
  • Foster a customer-centric culture to enhance client relationships and leverage the Bank's resources.
  • Demonstrate a strong understanding of risk appetite and risk culture in day-to-day activities and decision-making.
  • Efficiently manage the Japan Compliance program, adhering to the firm's Values, Code of Conduct, and Global Sales Principles.
  • Develop a comprehensive understanding of the business, associated risks, and compliance processes.
  • Stay informed about relevant regulatory and market developments and provide regular updates to management.
  • Manage the development, implementation, and maintenance of Compliance policies and procedures.
  • Manage regulatory examinations, audits, and reporting, as well as licensing matters. Build and maintain relationships with regulatory agencies, industry associations, and relevant bodies.
  • Provide compliance advice and assistance to Japanese businesses, considering regulatory requirements and internal policies.

Required skills

  • Strong knowledge of Japanese regulatory requirements and industry practices.
  • Excellent understanding of compliance principles and best practices.
  • Strong communication skills in Japanese and English.

About our client

Ability to work independently and collaboratively in a team environment.
Strong analytical and problem-solving skills.


Consultant Details

Consultant Details

Steven Howden
Steven Howden