This is a Tokyo-based entity within a leading Asia-headquartered investment bank with a global footprint across major financial centers. The firm conducts securities business internationally and in Japan through regulated financial instruments operations, supporting both global markets and investment banking activities.
The organization emphasizes integrity, professionalism, collaboration, and excellence, with a strong commitment to compliance and responsible business conduct. It also promotes an inclusive workplace where diverse backgrounds and perspectives are valued, and where employees are supported to contribute to the firm’s continued growth. The Legal and Compliance function works closely with regional teams to ensure the business operates in line with applicable laws, regulations, internal policies, and group standards.
The Compliance Officer will be responsible for helping ensure that all business activities in Tokyo comply with applicable laws, regulations, and internal policies. This is a broad, hands-on compliance role supporting day-to-day operations across business units and infrastructure functions, with a strong focus on practical advisory and regulatory risk management.
Key responsibilities include developing and maintaining compliance policies and procedures, reviewing new business and product proposals, monitoring trading and business activity through desk review and surveillance, and overseeing KYC, AML, and financial crime prevention controls. The role also involves liaising with government and regulatory bodies, responding to regulatory examinations and inquiries, and delivering compliance training. The successful candidate will work closely with colleagues in Beijing and Hong Kong and should be comfortable balancing commercial needs with a detailed and disciplined approach to regulatory requirements.
Native-level Japanese and strong written/verbal English communication skills; [suggestion: Mandarin is a plus]
5+ years of legal and compliance experience in a Type 1 Financial Instruments Business Operator
Strong knowledge of Japan’s financial services regulatory framework, including the Financial Instruments and Exchange Act and the Act on Prevention of Transfer of Criminal Proceeds
Relevant regulatory/professional qualifications, including JSDA Class-1 Sales Representative and Regular Member’s Internal Administrator
Experience with cross-border transactions for institutional/professional investors and corporates
High integrity, strong organization, teamwork, and the ability to work under pressure
No prior administrative actions by authorities
