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!
