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Regulatory Compliance Manager

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Job Description

Join as the Deputy Head of Compliance for a small but growing financial institution in Japan, with the opportunity to step up as Head of Compliance.


  • This role will begin as Deputy Head of Compliance, but will take over as Head of Compliance one the current Head retires.
  • Collaborate closely with the Company's Chief Compliance Officer to develop and implement internal controls, risk management policies, and compliance procedures.
  • Oversee and manage all aspects of risk and compliance, ensuring strict adherence to regulatory mandates.
  • Ensure the efficient daily operations of the compliance department.
  • Execute thorough Customer Due Diligence reviews, aligning with AML guidelines.
  • Conduct Trade Surveillance and Transaction Monitoring assessments to detect any potential market misconduct or suspicious transactions.
  • Support the filing of Suspicious Transaction Reports for identified market misconduct and review Production Orders from regulatory authorities.
  • Assist in reviewing marketing materials and outsourcing arrangements.
  • Maintain and update compliance policies and procedures.
  • Stay vigilant regarding changes in regulations, both new and revised.

Required skills

  • At least 5 years' experience within compliance at a financial institution.
  • Strong knowledge of regulations - both local and global - impacting securities.
  • Proficiency in English and Japanese.

About our client

An innovative global on-line security brokerage firm offering unique financial products to retail clients in Japan.


Consultant Details

Consultant Details

Steven Howden
Steven Howden