A leading global markets infrastructure group is seeking a Compliance Officer to join the Japan Compliance team, supporting its growing electronic agency execution business. This role plays a vital part in overseeing regulatory compliance across equities, electronic execution, and technology-driven trading. As a key member of a lean, high-impact compliance function, you will partner closely with senior stakeholders, internal control teams, and regulators to ensure strong governance across the front-to-back environment.
Key Responsibilities
- Support the Internal Control Manager (ICM) for the electronic agency execution entity, including direct liaison with JSDA and FSA.
- Assist and enhance the Compliance Monitoring Program, review outputs, and ensure timely completion of remedial actions.
- Track, analyse, and interpret regulatory changes from FSA, JSDA, FIBO, and other bodies impacting equities and electronic trading.
- Provide day-to-day regulatory and strategic advisory to senior management, desk heads, and control teams.
- Develop strong relationships with regulators, internal control functions, and external auditors.
- Deliver and coordinate compliance training and periodic review activities across desks and centres.
- Contribute to cross-functional compliance and control initiatives across Japan and the APAC region.
Required Skills and Qualifications
Experience:
- ICM (JSDA) qualification or readiness to obtain it.
- Minimum 2 years of experience within a financial institution in trade-related functions; open to candidates from Operations or Front Office.
- Exposure to equities electronic trading preferred.
- Understanding of compliance governance frameworks, IT systems governance, and front-to-back processes.
Soft Skills:
- Ability to manage multiple deliverables in a fast-paced trading environment.
- Strong communication skills, independence, and professional resilience.
Language Requirements:
- Japanese: Fluent
- English: Intermediate to Business
Preferred Skills & Qualifications
- Experience interpreting regulatory expectations related to electronic trading.
- Familiarity with risk frameworks and market regulations in investment banking environments.
- Proactive mindset with the ability to partner closely with business leaders.
About the Company
Our client is a global markets infrastructure leader operating across 27 countries, supporting both traditional markets and next-generation electronic trading. The Japan Compliance team is a strategic function working closely with business lines, offering deep visibility with senior leadership and exposure to cutting-edge electronic trading regulation.
Why You'll Love Working Here
- Highly visible role supporting a fast-growing electronic execution business.
- Opportunity to deepen expertise in ICM, electronic trading compliance, and front-to-back governance.
- Lean, collaborative team where compliance is a partner-not a back-office function.
- Global cross-border exposure with sophisticated infrastructure and senior stakeholder engagement.
- Competitive compensation and career development within a global financial organisation.
Don't Miss Out - Apply Now!
