Senior Compliance Officer - Wealth Management

An opportunity within the Compliance function of a leading financial services organisation in Japan. This role offers exposure to either front-line Wealth Management compliance support or broader enterprise-wide compliance planning and governance activities, contributing to the development, maintenance, and enhancement of internal control frameworks designed to support regulatory compliance across the business.

Depending on assignment, responsibilities may include:

Wealth Management Compliance:
- Provide compliance support and guidance to professionals responsible for overseeing compliance within Wealth Management business activities.
- Deliver compliance training and awareness initiatives related to regulatory requirements and internal policies.
- Coordinate communications and compliance-related information sharing across relevant stakeholders.
- Support the consistent application of compliance standards and regulatory expectations throughout the Wealth Management function.
- Contribute to the development and implementation of compliance initiatives and operational improvements.

Compliance Planning & Head Office Functions:
- Support firm-wide compliance planning and coordination activities.
- Liaise with internal stakeholders regarding compliance-related matters and regulatory requirements.
- Assist with responses to supervisory authorities and regulatory examinations.
- Support the enhancement of internal control frameworks, including trade surveillance reviews and internal inspection processes.
- Participate in initiatives aimed at maintaining regulatory compliance and strengthening governance practices.

Why You Should Consider This Opportunity
- Opportunity to work within a core compliance function supporting a regulated securities business.
- Exposure to a broad range of regulatory and governance topics, including securities regulations, internal controls, monitoring, and compliance planning.
- Ability to contribute to the design, maintenance, and improvement of compliance frameworks that support business activities.
- Potential opportunity to gain direct Wealth Management compliance experience, including future placement within a business-facing compliance team, subject to business needs and individual preference.
- Involvement in interactions with internal stakeholders and regulatory-related activities.

Employee Benefits:
Social insurance and statutory benefits in accordance with Japanese law. Additional benefits are available and can be discussed during the recruitment process.

Essential:
- Experience within the securities industry and/or knowledge and experience relating to compliance, laws, regulations, and regulatory frameworks.
- Understanding of compliance and internal control requirements within a regulated financial services environment.
- Ability to communicate effectively with a range of stakeholders.

For Wealth Management Compliance focus:
- Experience in securities sales or client-facing activities within the securities industry.

For Compliance Planning focus:
- Business-level English proficiency.
Certification
- Securities Sales Representative Qualification (Class 1) required. Candidates who do not currently hold the qualification should be willing to obtain it.

Don't meet every requirement?
Feel free to apply, as we also support opportunities beyond those advertised on our website.