【Global Financial Trading】 Compliance Manager

Key Responsibilities:

• Develop and maintain compliance policies and procedures for the company's financial trading operations.
• Monitor and assess the company's compliance with applicable regulations and industry standards and report to senior management.
• Oversee regulatory license applications, filings, inspections, and audits, ensuring timely and accurate submissions.
• Stay current with changes in regulatory requirements and industry best practices and advise senior management on compliance-related risks and opportunities.
• Conduct compliance training and awareness programs for employees and partners.
• Build and maintain effective relationships with Japanese regulators, exchanges, banks, and industry associations.
• Investigate, assess, and address compliance-related incidents, issues, and inquiries promptly and effectively.

Qualifications:

• Bachelor's degree in business, law, finance or a related field.
• Minimum of 5 years of relevant experience in compliance management, with a focus on either from Japan commercial banking industry or securities industry.
• Strong knowledge of Japanese Securities / Asset Management/ Foreign Exchange Laws & Digital Assets regulations
• Experience with regulatory license applications, filings, inspections and audits of Japanese FSA, etc. is a plus
• Ability to work independently, with a startup / entrepreneurial mindset who can build from scratch.
• Native-level in Japanese, business-level in English