【Head of Compliance】@ Global Financial Firm

JOB DESCRIPTION: HEAD OF COMPLIANCE – Japan Office

Employment Type: Full-time, Permanent
Role: Head of Compliance, Japan
Work Location: Tokyo Office

About the Company
The Japan office of a leading global online financial services firm with over 50 years of history. In Japan, the company provides online trading platforms and services for OTC derivatives such as FX and CFDs and is recognized as one of the leading foreign-owned financial brokers in the Japanese derivatives market. The firm recently opened a major new arena in Nagoya, one of the largest of its kind in Japan.

Role Overview
The Head of Compliance is a senior leadership position responsible for overseeing all compliance activities across the Japan operations. The role serves as the strategic compliance lead and acts as a critical commercial partner to the business, enabling successful execution of strategy while ensuring full regulatory compliance.

Primary Accountabilities

1. Lead and develop a team of compliance professionals, providing guidance, mentorship, and effective resource allocation.
2. Ensure full compliance management and oversight across the Japan business.
3. Drive strategic leadership and foster a strong compliance culture within the office.

Key Responsibilities
Strategic Compliance Leadership

• Design, implement, and maintain comprehensive compliance programs.
• Provide strategic advice to support business objectives within regulatory boundaries.
• Interpret and implement regulatory changes, driving continuous improvement and operational excellence.
• Lead compliance aspects of business transformation projects and product rollouts.
• Advocate for fair client outcomes and embed compliance in risk and commercial decision-making.

Operational Compliance Oversight

• Provide second-line oversight for all financial services provision.
• Oversee AML/CTF programs, complaint handling, financial promotions, conflicts of interest, and conduct risk frameworks.
• Manage regulatory correspondence and reporting.
• Implement effective compliance training programs.

Regulatory Relationship Management

• Maintain strong relationships with key regulators, auditors, vendors, and industry partners.
• Represent the company in regulatory consultations and industry forums.

Leadership and Governance

• Provide compliance guidance to leadership teams and participate in key committees.
• Prepare high-quality board papers and management reports.

Person Specification
Essential Experience

• 10+ years in financial services compliance, with senior leadership experience.
• Strong knowledge of financial services regulations, capital markets, and derivatives.
• Proven track record in stakeholder management and team leadership.
• Deep understanding of Japanese financial services market and regulatory expectations.

Qualifications

• Bachelor’s degree in Law, Finance, Commerce, or related field.
• Fluent in English and Japanese.

Skills and Competencies

• Strong risk assessment and mitigation capabilities.
• Ability to balance commercial priorities with regulatory compliance.
• Strategic thinking, change management, and cross-cultural leadership.
• Exceptional communication, negotiation, and board-level reporting skills.
• High ethical standards, resilience, and client-focused mindset.

Working Conditions

• Manage a regional compliance team of five professionals.
• Occasional domestic and international travel may be required.
• Flexible working hours to accommodate regulatory deadlines and global operations.

Key Performance Indicators

• Maintenance of all regulatory licenses without adverse actions.
• Timely implementation of regulatory changes.
• Quality of compliance reporting and board papers.
• Leadership effectiveness and team engagement.
• Achievement of business objectives while maintaining full regulatory compliance.