Work in Japan : Monitoring, Surveillance and Investigations, Desk Review

Minimum Experience Level

No experience 

Minimum English Level

Fluent 

Minimum Japanese Level

Native 

Minimum Education Level

Bachelor's Degree 

Visa Status

Japanese national or permission to work in Japan required  

Responsible for assisting the head of Monitoring in compliance desk review planning and processing in order to contribute to prudent regulatory risk management.


·Determine scoping and plan desk review with Advisory Compliance and management taking regulatory and internal audit issues into consideration

·Implementation and processing of desk reviews

·Document desk review results and reporting

·Escalate findings to relevant parties, e.g. Head of MSI, Advisory Compliance and Compliance management

· Follow up general issues relevant to desk reviews

·Familiar with the current suite of securities and banking regulations and have a sense of industry best practice

·Experience or knowledge of government agency or self-regulatory organization will be helpful

·Front or back-office experience with a brokerage firm; in a regulatory, Internal Audit, compliance or business capacity on sales or trading desks


·Proficiency in English and Japanese

·Proficiency with PC applications and aptitude for learning a variety of systems

·Excellent writing and verbal communication skills

·A strong work ethic and a passion for high performance

·Self-motivation and excellent interpersonal skills

·Highest standards of integrity and sound judgment

Legal Futures was founded in 1999 and is a dedicated legal, compliance and financial services boutique consultancy that operates from offices in Tokyo, Hong Kong and Singapore. Our recruitment business is categorised as specialist/professional. From Hong Kong we also service our clients in the PRC and Korea, whilst Thailand, Malaysia and Indonesia are serviced from Singapore. This enables us to deliver a total recruitment solution to regional team building in our clients’ key locations. We offer in-depth coverage from each office with a premium personalised consultancy service acting for international law firms, leading American and European investment banks and other employers of choice across all sectors of industry and commerce. For candidates, there is no charge for the services that we provide.

We operate three separate and highly specialised divisions:

Our Private Practice Division services the full spectrum of law firms sourcing qualified lawyers (both local and overseas admitted) at all levels from associates through to partners, also practice support lawyers, paralegals and business services positions.

Our Corporate Division services both domestic and international companies sourcing qualified lawyers (both local and overseas admitted) at all levels from Legal Counsels through to Regional General Counsels, corporate compliance officers, company secretaries and commercial/contract managers.

Our Banking & Finance Division services the full financial services industry from bulge bracket investment banks to retail banks and fund managers and is responsible for the recruitment of financial services executives, lawyers (both local and overseas admitted) at all levels from Legal Counsels through to Regional General Counsels, compliance officers at all levels from junior compliance officers up to Regional Heads of Compliance, also documentation officers, paralegals and mid-office personnel positions.

Our recruitment business is categorized as specialist/professional and our placements are limited to Japan only. Our service is free of charge. We will apply and follow the laws and principles of all relevant legislation and maintain data privacy at all times. Please refer to www.legalfutures.com to view our Privacy Policy. The person handling personal information is our license holder Matt Anderson who will also handle any complaints.