Senior Compliance Officer

JOB DESCRIPTION

Job Title: Senior Compliance Officer

Department: Compliance

Location: Japan

Full-time, permanent


Job purpose:

In order to support this exciting growth in the business, the Compliance department of the Japan office is seeking to hire suitably qualified persons to fill the role as Senior Compliance Associate - Japan

General Duties:

• Reporting to, and working together with the Head of Compliance - Japan, in all aspects of the regulatory obligations of the entity in order to maintain the pre-requisite licenses.
• Key functional responsibilities comprising of regulatory compliance, compliance advisory, compliance monitoring and anti-financial crime compliance.
• Maintenance of Compliance Risk Assessments to ensure that latest regulatory risk exposures are being continuously complied, mitigated and managed.
• Assisting in the documentation of Policies for the firm to articulate regulatory obligations to be mitigated through controls in Procedures by first line functions.
• Assisting in the preparation of the Annual Compliance Plan for Board approval and implementation together with the Compliance Monitoring Program.
• Working together with regulatory agencies (FSA and JSDA), internal and external audit engagements, if required.
• Familiarity with FIEA, FETA & AML Act legislations relating to securities dealing and brokerage; specifically, CFDs, over-the-counter derivatives and foreign exchange transactions.

Qualification and Skills

Qualifications:

• Tertiary-related qualifications including Diploma or Degree or Professional Qualifications.
• Experience in a Compliance function or role for an FSA and/or JSDA regulated entity.
• Fluency in Spoken and Written Japanese
• Competency in spoken and written English.
• Working knowledge of Microsoft Outlook/Word/Excel Skills

Skills:

• Ability to work as part of a team, and be a key contributor.
• Keen attention to detail.
• Willingness to work under tight deadlines.
• Comfortable with the use of PC-based enterprise applications
• Cordial, humble and friendly disposition for engagement with multiple internal and external stakeholders.
• Firm and decisive decision making with willingness to assume responsibility and accountability.