Join a top-tier global investment banking group as a Wholesale Compliance Officer (Associate-Director), where you will play a key role in maintaining and strengthening compliance frameworks. This position covers compliance across wholesale business matters in both primary and secondary markets, with exposure to equities and fixed income. You will provide regulatory oversight, support governance frameworks, and act as a trusted partner to stakeholders across the business.
Key Responsibilities
- Provide compliance support for wholesale business matters, including primary and secondary markets.
- Contribute to the design and operation of compliance frameworks, including conflicts-of-interest governance.
- Oversee compliance coverage across multiple product classes such as equities and fixed income.
- Ensure regulatory compliance for cross-border transactions, coordinating with global group companies.
- Act as an advisor to stakeholders, offering clear guidance on regulatory and compliance matters.
Required Skills and Qualifications
Experience:
- Over 3 years of experience in wholesale business (front office or compliance).
- Work experience at a financial institution, law firm, or accounting firm.
Soft Skills:
- Strong communication skills to coordinate and advise diverse stakeholders.
- Deep understanding of financial regulations with a commitment to continuous learning.
Language Requirements
- Japanese: Native level (required for local compliance and stakeholder engagement).
- English: Intermediate to Business level (required for cross-border work and regulator interactions).
Preferred Skills & Qualifications
- Business-level English proficiency, with confidence to handle regulatory inspections and exams.
- Product knowledge sufficient to address front-office inquiries.
About the Company
Our client is a leading global investment banking group known for its strong governance, mature compliance frameworks, and a culture that ensures Compliance has a clear voice at the table. With a strong reputation in global financial markets, they provide employees with exposure to real deal flow and opportunities for professional growth.
Why You'll Love Working Here
- Competitive compensation package (¥11M-¥14M).
- Opportunity to handle real deal flow across primary and secondary markets.
- Hybrid working environment balancing remote flexibility with in-office collaboration.
- Comprehensive benefits including social insurance, commuting reimbursement, lunch subsidy, employee stock plan, and family-friendly programs.
- Structured on-the-job training, professional certifications, and continuous learning supported.
Don't Miss Out - Apply Now!
