Head of Compliance

You will oversee compliance, internal controls, and regulatory matters for a securities company. You will develop and operate compliance programs, advise on business activities and new projects, manage reviews and monitoring, respond to regulators, and help build a scalable compliance organization.

Responsibilities

• Develop and implement the compliance program
• Operate and manage internal compliance training
• Run the compliance committee
• Maintain and revise internal regulations
• Address anti-money-laundering and counter-terrorist-financing measures
• Provide compliance advice on business activities and new projects
• Review advertising
• Verify the appropriateness of underwriting decision processes
• Manage conflicts of interest
• Manage non-public information
• Manage employees’ securities trading
• Manage financial instruments intermediaries
• Manage personal and specific personal information
• Monitor sales activities, investment solicitation, and customer management
• Handle securities incidents
• Respond to regulatory inspections and Japan Securities Dealers Association audits
• Handle applications, notifications, and inquiries with regulators and self-regulatory organizations
• Handle complaints, disputes, and anti-social forces matters
• Build the compliance team and organizational structure

Requirements

• Knowledge of the Financial Instruments and Exchange Act and Japan Securities Dealers Association rules
• Either a Class 1 Securities Sales Representative qualification and Internal Control Manager qualification, experience in securities-company compliance or internal-control work, or experience responding to audits and inspections by relevant authorities
• Alternatively, experience conducting supervision or inspections of financial instruments business operators at a relevant authority
• Word-centered PC skills

Benefits

• Stock options
• Comprehensive social insurance
• Commuting allowance up to JPY 35,000 per month
• Nearby housing allowance of JPY 30,000 per month
• Nearby relocation assistance up to JPY 50,000
• Medical out-of-pocket cap of JPY 20,000 per case
• Condolence and celebration leave and allowances
• Shorter-hours regular employee program
• Additional childbirth and childcare lump-sum benefit and company celebration payment
• Unlimited remote work, with hybrid work available
• Water server
• Discounts for lodging, leisure, sports, and lifestyle support
• Two-day weekend and public holidays
• Annual paid leave
• Year-end and New Year holidays
• Five special leave days per year
• Five sick leave days per year