【外資系証券】コンプライアンスモニタリング｜年収1,700万円〜

大手外資系金融グループにて、日本の機関投資家向け証券プラットフォームの構築・拡大に貢献していただきます。

東京オフィスの 2nd Line コンプライアンスポジションとして、売買審査、電子コミュニケーションモニタリング、規制対応、PAD、OBIなど、幅広いコンプライアンス業務を担当します。

経験豊富な日本のリーダーシップチームとともに強固なコンプライアンス体制を築く、やりがいのあるポジションです。

• 機関投資家向け証券業務の取引モニタリングを担当
• 電子コミュニケーションのモニタリングを実施
• Personal Account Dealing（PAD）の確認・管理
• Outside Business Interests（OBI）の確認・管理
• Gifts & Entertainmentに関するレビューの実施
• 証券外務員登録や規制研修、各種届出の管理
• 経済制裁スクリーニングやオフィス・システムアクセス管理のサポート
• 情報資産台帳のレビューの実施
• 規制報告、顧客苦情の記録・管理のサポート
• コンプライアンス部門の各種ガバナンス業務支援
• ローカルのコンプライアンス責任者やリージョナルチームとの連携

Join a leading international banking and markets group as a Securities Compliance & Trade Surveillance Specialist, supporting the continued expansion of its institutional securities business in Japan.

Based in Tokyo, this is a hands-on second-line compliance position covering trade surveillance, electronic communications monitoring, regulatory compliance, Personal Account Dealing (PAD), Outside Business Interests (OBI), and Gifts & Entertainment controls.

You will work closely with local compliance leadership and regional stakeholders to maintain a robust compliance and monitoring framework as the business expands. The role also provides exposure to JSDA-related administration, regulatory reporting, economic sanctions screening, client complaint management, and broader compliance governance.

For an experienced securities or investment banking compliance professional, this is an opportunity to take on a high-impact role within a growing international platform and contribute directly to the development of its Japan compliance framework.

• Oversee daily trade surveillance across institutional securities activities, identifying and escalating potential compliance issues where appropriate.
• Conduct electronic communications monitoring to support regulatory and internal compliance requirements.
• Manage core compliance processes including Personal Account Dealing (PAD), Outside Business Interests (OBI), and Gifts & Entertainment reviews.
• Manage JSDA sales representative registrations and related administrative processes.
• Coordinate and monitor ongoing regulatory training requirements.
• Support regulatory and administrative filings as required.
• Assist with economic sanctions screening and related compliance controls.
• Support office and system access control processes from a compliance perspective.
• Assist with reviews and maintenance of information asset registers.
• Support regulatory reporting and ensure relevant compliance information is appropriately captured and maintained.
• Manage and maintain client complaint logs and related compliance records.
• Support broader second-line compliance governance and monitoring activities.
• Partner closely with local compliance leadership and regional stakeholders to maintain an effective control framework during business expansion.
• Contribute to the continued development of compliance processes appropriate for a growing institutional securities platform in Japan.

必須条件経験・資格：

• 証券会社または投資銀行での実務経験5年以上
• コンプライアンス部門での実務経験
• トレードサーベイランス、モニタリング、コアコンプライアンスや規制対応などの知識
• 国内の規制当局および海外の関係者と円滑にコミュニケーションがとれること
• 大卒以上

• 自ら課題を見つけ、主体的に行動できるセルフスターター
• 最低限の指示で業務を遂行できる自律性、自己管理能力
• 変化の速い環境に対応できる柔軟性

• 日本語：ネイティブレベル
• 英語：流暢

• 債券・フィクストインカム商品に詳しい方歓迎
• 外資系銀行・証券会社など、国際的な金融機関での勤務経験

• 大手金融グループでキャリアを加速
• 債券・証券プラットフォームのコンプライアンス体制構築に寄与するチャンス
• 経験豊富な日本の経営陣と仕事ができる
• 都心のきれいなオフィス
• フレックスタイム制あり
• 基本給1,700万〜応相談、＋ボーナス

• 5+ years of experience within a securities firm or investment bank.
• Hands-on experience within a compliance function, such as trade surveillance, monitoring, core compliance, or regulatory affairs.
• Practical understanding of compliance requirements within a regulated securities or investment banking environment.
• Experience working with compliance monitoring, controls, governance, or regulatory processes.
• Ability to work with local and regional stakeholders in an international financial services environment.
• More than 6 years of professional experience overall.
• Bachelor's degree.

• Strong self-starter mindset with the ability to work independently.
• Excellent self-management skills and the ability to take ownership of day-to-day compliance responsibilities.
• Comfortable operating in an agile, hands-on, and evolving business environment.
• Strong attention to detail when handling surveillance, monitoring, regulatory, and compliance processes.
• Sound judgement when reviewing compliance matters and identifying issues requiring escalation.
• Strong communication and stakeholder management skills.
• Ability to collaborate effectively with local compliance leadership and regional teams.
• Comfortable working within a growing business where compliance processes and controls continue to evolve.

• Japanese: Native level
• English: Fluent
• Strong bilingual communication skills are essential for working effectively with local regulators and global counterparts.

• Familiarity with fixed income products is beneficial but not required.
• Experience within an institutional securities or capital markets environment.
• Exposure to JSDA-related registrations, regulatory training, or filings.
• Experience with PAD, OBI, Gifts & Entertainment, sanctions screening, or similar core compliance processes.
• Experience working within an international banking or securities organisation.

• Join a new and expanding international securities platform in Tokyo at an important stage of its growth.
• Take on a high-impact compliance role with broad exposure across trade surveillance, monitoring, regulatory affairs, and core compliance.
• Work closely with an experienced local compliance leadership team.
• Gain direct involvement in the development of a focused fixed income and institutional securities business.
• Benefit from the resources and support of a strong global banking and markets group.
• Collaborate with both Japan-based and regional stakeholders in a highly international environment.
• Enjoy high visibility and the opportunity to contribute directly to the development of the Japan compliance framework.
• Work from a new office location in Tokyo's financial district.
• Benefit from flexible working hours.
• Receive a competitive annual compensation package of ¥17M-¥20M.