Compliance Officer

We are seeking an experienced Compliance professional to join our team in Japan and take an active role in managing and strengthening the company’s compliance, regulatory, and AML/CFT framework.

Responsibilities

Compliance Framework & Governance

• Establishment and operation of compliance frameworks.
• Development, revision, and implementation of internal regulations and operational manuals.
• Monitoring regulatory changes and ensuring their implementation across the organisation.
• Formulation and progress management of the compliance programme.
• Administration of Compliance, Risk Management Committee, and Board meetings.

Preliminary Review & Monitoring

• Review of new products, services, and changes to business processes.
• Review and approval of advertising and promotional materials.
• Monitoring solicitation activities, order records, telephone recordings, and trades.
• Management of directors’ and officers’ personal dealing and insider trading controls.

AML/CFT & KYC

• Management of KYC/eKYC, ongoing customer due diligence, and customer risk-rating processes.
• Sanctions and anti-social forces screening.
• Assessment and submission of Suspicious Transaction Reports (STRs).
• Preparation and maintenance of AML/CFT risk assessments.
• Compliance with relevant Foreign Exchange and Foreign Trade Act requirements.

Customer Protection

• Implementation of suitability and pre-contract disclosure requirements.
• Handling customer complaints, enquiries, and FINMAC procedures.
• Monitoring segregated accounts, trust safeguarding, and daily reconciliation.
• Monitoring compliance with leverage and stop-loss requirements.

Regulatory & SRO Relations

• Regulatory filings and notifications to the Kanto Local Finance Bureau.
• Reporting to and handling audits by the Financial Futures Association of Japan (FFAJ).
• Managing regulatory inspections and monitoring.
• Reporting misconduct incidents, system failures, and other reportable matters.

Training & Other Responsibilities

• Planning and delivering Compliance and AML training.
• Managing sales staff registrations, qualifications, and renewals.
• Coordinating with Internal Audit, external legal counsel, and audit firms.
• Providing compliance reporting in English to overseas shareholders and group companies.

Requirements

• Approximately 5+ years of relevant experience in Compliance, Internal Control, or Legal Affairs within a financial institution.
• Practical knowledge of the Financial Instruments and Exchange Act (FIEA) and related regulations and supervisory guidelines.
• Experience independently drafting and revising internal policies and coordinating implementation with relevant business functions.
• Business-level Japanese and English, including the ability to read contracts and regulations and conduct meetings and reporting in English.

Desirable Requirements

• Experience within OTC FX, OTC derivatives, or securities firms.
• Experience as a Head of Internal Control or Internal Control Officer.
• Practical knowledge of FFAJ self-regulatory rules.
• Hands-on AML/CFT experience, including STR assessment, risk assessments, and ongoing CDD.
• Experience handling regulatory inspections and SRO audits.
• Experience reporting in English to overseas shareholders or group companies.
• Relevant qualifications such as Securities External Representative Type 1, Internal Control Officer, CAMS, or similar compliance/legal certifications.

Ideal Candidate Profile

• Hands-on and focused on ensuring policies are effectively implemented, not just documented.
• Able to communicate compliance risks clearly to business teams and propose practical alternatives.
• Comfortable working operationally and taking ownership within a small team.