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URGENT: Compliance Officer (Soon to be Head of Compliance)

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Published:   2024/04/10




¥ 12,000,000 Yearly

Required language

Japanese: Native
English: Business


Our Client is a leading player in clearing and clearing related services. They are looking for a Compliance Officer to support their legal and compliance team in Tokyo. The Compliance Officer will be responsible for ensuring that the business conducts itself in accordance with regulatory rules and internal policies. They will also provide professional advice to the business line as required, liaise with legal and risk-related functions and perform regular compliance training.

Within a few years, successful candidate will become a successor of a current Head of Compliance who will be retiring in few years. 



  • Advisory: Provide compliance advice, interpret regulations, report, train, and communicate.
  • Monitoring & Control: Define rules, monitor activities, maintain standards, conduct compliance tests, investigate rule breaches, and ensure proper documentation.
  • External Relationships: Deal with complaints, review regulatory proposals, submit returns, coordinate regulatory communications, and foster relationships with regulators.
  • Secondary Activities: Support legal and risk functions outsourced to overseas subsidiaries.


  • About 10 to 15 years of Compliance experience in a Clearing business or Securities industry (high frequency trade)
  • Has overall knowledge of Clearing activities and has experience in either Compliance, Internal Audit, and Risk Management.
  • Excellent knowledge of relevant exchanges and regulator rules, particularly in Japan (JFSA, BOJ, JPX(TSE&OSE), JSDA and JSCC inspection and regulatory reporting).
  • Has a track record of influencing senior business management, strategic thinking, prioritization, and presenting solutions to support business activities and plans.
  • Has effective communication skills, fluency in both Japanese and English, IT literacy, and can work effectively in small teams/organizations.
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