外資系証券会社 コンプライアンス・マネージャー

1. Providing comprehensive regulatory advisory to business and operating units and keep key stakeholders updated on regulatory requirements developments

2. Developing and implementing policies and procedures to keep it up to date with regulatory and Group internal control requirements

3. Executing and monitoring the Compliance Program (i.e. personal dealing monitoring, compliance risk assessment, annual compliance work plan and periodic compliance review etc.)

4. Arranging compliance and regulatory training for staff to inculcate a culture of compliance within Japan office

5. Liaising with regulators (i.e. KFB) and internal and external auditors/legal counsel on compliance related enquiries, audit, inspection and license application




1. Bachelor degree or above

2. At least 5 years of relevant compliance experience

3. Qualification of Internal Control Supervisory Manager of Japan Securities Dealers Association (JSDA) is preferable

4. Candidates with experience working with financial services industry such as banks, brokerage firms, stock exchanges, regulators or corporate finance companies are welcome

5. Business level Japanese and English level.

Years of relevant working experience:
 • Experience of 5 years in Compliance