【英語を活かす】上級規制コンプライアンス担当官/ Sr. Regulatory Compliance Officer

A multinational financial services company is seeking a Senior Regulatory Compliance Officer. The selected candidate will lead compliance operations, regulatory engagement, and license management to ensure adherence to Japanese financial regulations. This is a remote setup role.

A leading financial services provider in Asia, this company is recognised for its strong expertise in investment banking, asset management, and wealth solutions. With a solid global network and a focus on innovation, it offers professionals the opportunity to grow their careers in a dynamic and forward-looking environment.

Keywords:

金融サービス, コンプライアンス, 規制業務, 金融規制, ライセンス管理, マネーロンダリング防止, リスク管理, 監査サポート, 法務, 求人, 外資系

Job Ref: NFGOGK

Responsibilities:

• Interface with regulators for license applications, new business initiatives, inspections, and inquiries
• Provide guidance to management on regulatory and compliance issues
• Support client onboarding processes and address Anti-Money Laundering (AML) concerns
• Develop and execute annual compliance review programs based on risk assessments
• Build relationships with regulators and external legal firms while monitoring regulatory changes
• Collaborate with overseas offices to prepare compliance reports and share regulatory updates
• Maintain compliance records, support audits and inspections, and oversee training programs
• Formulate, implement, and revise compliance policies and procedures

Requirements:

• Bachelor's degree or above
• More than 10 years of work experience
• More than 5 years in Compliance, Legal, Audit, or regulatory roles within licensed securities companies or regulators
• Prior experience in regulator engagement and team leadership
• Familiarity with Japanese securities regulations and market practices
• Proficient in project management skills
• Possess a valid authorisation to work in Japan
• Native level Japanese; business level English