<p><strong>Company Profile</strong></p><p>Our client is an international financial services firm specializing in wealth management, investment advisory, and long-term asset formation solutions for individual and corporate clients. Operating in a highly regulated environment, the firm provides access to a broad range of global investment products and offers an independent advisory model tailored to client needs.<br /> The Japan business is a lean and entrepreneurial organization with strong international connectivity, offering high visibility and direct impact on business growth and governance.</p><p><strong> </strong></p><p><strong>The Role</strong></p><ul><li>Lead and oversee the company's risk and compliance framework across Japan operations</li><li>Ensure adherence to applicable financial regulations, internal policies, and industry standards</li><li>Manage regulatory filings, reporting, and communication with relevant regulatory bodies and industry associations</li><li>Review sales and marketing activities to ensure compliance with financial product distribution rules</li><li>Conduct compliance monitoring, internal assessments, and control reviews to identify and mitigate risks</li><li>Provide compliance training and guidance to front-office and broader business teams</li><li>Develop enterprise risk management strategies and oversee risk mitigation initiatives</li><li>Support governance reporting to senior management and relevant committees</li><li>Act as a key contact during regulatory inspections, audits, and compliance reviews</li><li>Lead incident response and remediation for compliance breaches or risk-related issues</li></ul><p> </p><p><strong>Your Skills </strong></p><ul><li>5+ years of experience in regulatory compliance within financial services</li><li>Strong knowledge of securities regulations, ideally with exposure to Type I / Type II FIBO environments</li><li>Experience in asset management, securities, fund distribution, wealth management, or retail investment products preferred</li><li>Exposure to regulatory inspections, filings, and regulator communication</li><li>Strong commercial awareness and ability to balance business growth with regulatory requirements</li><li>Native / fluent Japanese and business-level English</li><li>Strong stakeholder management and communication skills</li></ul><p> </p><p><strong>Key Highlights of the Role </strong></p><ul><li>Senior standalone leadership role with broad ownership across risk and compliance</li><li>Small but highly visible organization with direct access to executive leadership</li><li>Exposure to international stakeholders and global investment products</li><li>Opportunity to shape governance frameworks and influence business strategy</li><li>Flexible retirement age with strong openness to experienced senior candidates</li></ul><p> </p><p><strong>Location </strong></p><p>Tokyo</p><p><strong> </strong></p><p><strong>Salary</strong></p><p>8 - 14 million yen</p><p><strong> </strong></p><p>Reference Number: 06940-0013455443</p><p> </p><p> </p><p><em>By clicking 'apply', you are deemed to have agreed to Robert Half Japan Privacy Notice (</em><a href="https://www.roberthalf.com/jp/en/privacy"><em>https://www.roberthalf.com/jp/en/privacy</em></a><em>). Please ensure that your application documents do not include sensitive personal data such as race, beliefs, medical history, criminal record, or other information irrelevant to hiring process such as spouse or dependents. All information must be accurate and truthful, and any included hyperlinks must be safe and secure.</em></p><p><em> </em></p><img src="https://counter.adcourier.com/RGFsZS5JYmFkdXJyYWhtYW4uNjExMjguMTA4OThAcmhpanAuYXBsaXRyYWsuY29t.gif">