This boutique financial services firm is seeking a detail-oriented and experienced Risk and Compliance Officer to oversee and enhance our compliance framework as a Type 2 licensed financial instruments firm. This role is critical in ensuring adherence to Japanese financial regulations, managing operational and regulatory risks, and fostering a culture of integrity and accountability. Key Responsibilities: Regulatory Compliance: Ensure full compliance with the Financial Instruments and Exchange Act (FIEA), AML/CFT regulations, and other relevant laws. Liaise with the Japan Financial Services Agency (JFSA) and other regulatory bodies. Monitor regulatory changes and assess their impact on business operations. Risk Management: Identify, assess, and monitor operational, legal, and reputational risks. Develop and maintain risk registers and mitigation plans. Conduct periodic risk assessments and internal audits. Internal Controls & Policies: Draft, implement, and update internal compliance policies and procedures. Ensure robust internal controls are in place and functioning effectively. Conduct compliance testing and surveillance. Reporting & Investigations: Prepare regular compliance and risk reports for senior management. Investigate and report any breaches or suspicious activities. Support whistleblower processes and internal investigations. Preferred Experience: Experience working in a Type 1 or Type 2 licensed firm. Familiarity with investment advisory, private placement, or fund distribution operations. Exposure to international compliance standards (e.g., FATCA, CRS, GDPR).Reference Number: 06940-0013308596By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice <a href="https://www.roberthalf.com/jp/en/privacy">https://www.roberthalf.com/jp/en/privacy</a>. Please do not submit any sensitive personal data to us in your resume (such as such as race, beliefs, social status, medical history or criminal record) as we do not collect your sensitive personal data at this time.<hr />お客様が「今すぐ応募」ボタンをクリックすることにより、ロバート・ハーフ（以下、当社）がお客様の応募内容を処理し、求人情報を今後随時ご連絡する目的で個人情報を使用することに明示的に同意ただいたこととなります。当社による個人情報の処理方法、またお客様自身の個人情報へのアクセスおよびその訂正に関する詳細については、プライバシー規約（<a href="https://www.roberthalf.com/jp/ja/privacy">https://www.roberthalf.com/jp/ja/privacy</a>）をお読みください。当社は、要配慮個人情報はお預かりしておりませんので人種、信条、社会的身分、病歴、犯罪の経歴など、取扱いに特に配慮を要する個人情報は、ご提出いただく職務経歴書・レジュメ等に含めないようお願いいたします。<img src="https://counter.adcourier.com/S3Jpc3RvLkNoYW4uNzc3NzUuMTA4OThAcmhpanAuYXBsaXRyYWsuY29t.gif">

Tokyo,
remote
Permanent
1.0M - 1.5M JPY / Yearly
This boutique financial services firm is seeking a detail-oriented and experienced Risk and Compliance Officer to oversee and enhance our compliance framework as a Type 2 licensed financial instruments firm. This role is critical in ensuring adherence to Japanese financial regulations, managing operational and regulatory risks, and fostering a culture of integrity and accountability. Key Responsibilities: Regulatory Compliance: Ensure full compliance with the Financial Instruments and Exchange Act (FIEA), AML/CFT regulations, and other relevant laws. Liaise with the Japan Financial Services Agency (JFSA) and other regulatory bodies. Monitor regulatory changes and assess their impact on business operations. Risk Management: Identify, assess, and monitor operational, legal, and reputational risks. Develop and maintain risk registers and mitigation plans. Conduct periodic risk assessments and internal audits. Internal Controls & Policies: Draft, implement, and update internal compliance policies and procedures. Ensure robust internal controls are in place and functioning effectively. Conduct compliance testing and surveillance. Reporting & Investigations: Prepare regular compliance and risk reports for senior management. Investigate and report any breaches or suspicious activities. Support whistleblower processes and internal investigations. Preferred Experience: Experience working in a Type 1 or Type 2 licensed firm. Familiarity with investment advisory, private placement, or fund distribution operations. Exposure to international compliance standards (e.g., FATCA, CRS, GDPR).Reference Number: 06940-0013308596By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice <a href="https://www.roberthalf.com/jp/en/privacy">https://www.roberthalf.com/jp/en/privacy</a>. Please do not submit any sensitive personal data to us in your resume (such as such as race, beliefs, social status, medical history or criminal record) as we do not collect your sensitive personal data at this time.<hr />お客様が「今すぐ応募」ボタンをクリックすることにより、ロバート・ハーフ（以下、当社）がお客様の応募内容を処理し、求人情報を今後随時ご連絡する目的で個人情報を使用することに明示的に同意ただいたこととなります。当社による個人情報の処理方法、またお客様自身の個人情報へのアクセスおよびその訂正に関する詳細については、プライバシー規約（<a href="https://www.roberthalf.com/jp/ja/privacy">https://www.roberthalf.com/jp/ja/privacy</a>）をお読みください。当社は、要配慮個人情報はお預かりしておりませんので人種、信条、社会的身分、病歴、犯罪の経歴など、取扱いに特に配慮を要する個人情報は、ご提出いただく職務経歴書・レジュメ等に含めないようお願いいたします。<img src="https://counter.adcourier.com/S3Jpc3RvLkNoYW4uNzc3NzUuMTA4OThAcmhpanAuYXBsaXRyYWsuY29t.gif">
2025-10-06T04:53:14Z