Head of Compliance

- Manage the firm’s compliance and risk activities, ensuring adherence to regulatory requirements and internal policies.
- Develop and maintain compliance procedures, controls, and staff training programs.
- Oversee sales, marketing, and client-facing activities to ensure appropriate conduct and regulatory compliance.
- Handle regulatory filings, registrations, and relationships with regulators and industry associations.
- Conduct compliance reviews and risk assessments, identifying and addressing potential issues.
- Monitor business, operational, and regulatory risks and implement effective mitigation measures.
- Prepare reports for senior management and coordinate audits, inspections, and regulatory reviews.
- Lead compliance team members and work closely with business functions to strengthen governance and controls.

Employee Benefits:
In accordance with Japanese labour law

- Solid knowledge of the Japanese financial services regulatory environment, gained through experience within licensed investment or securities businesses.
- Familiarity with investment products offered to retail investors, with exposure to pooled investment vehicles or wealth management solutions considered beneficial.
- Demonstrated experience supporting regulatory compliance within customer-facing financial services operations.
- Proven involvement in regulatory examinations, supervisory reviews, or interactions with regulatory authorities.
- Able to communicate effectively in both Japanese and English within a professional business environment.
- Collaborative approach with the ability to work effectively across different teams and functions.
- Strong understanding of how regulatory and compliance considerations support broader business objectives and commercial growth.