Regulatory Compliance Manager

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.

Roles/Responsibilities

• 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.