<p><strong>Overview</strong><br />We are seeking a Compliance Manager to join a company operating in the financial services and online trading industry. This role will act as a regulatory compliance leader, strengthening trust within and outside the organization. The position involves managing compliance with laws and regulations at the forefront, while designing and operating effective compliance frameworks. It is a key role that contributes to the organization's growth and trust-building in a dynamic industry environment.</p><p><strong>Job Responsibilities</strong></p><ul><li>Regulatory compliance management</li><li>Policy development and implementation</li><li>Auditing and risk management</li><li>Regulatory authority interaction</li><li>Incident management</li><li>Training and compliance awareness</li></ul><p><strong>Qualifications</strong></p><ul><li>Experience in compliance-related roles within the financial industry, fintech, or online trading sector</li><li>Strong understanding of financial regulations and compliance frameworks such as AML (Anti-Money Laundering), GDPR, and MiFID II</li><li>Excellent communication skills, with the ability to explain complex regulatory issues clearly</li><li>Demonstrated leadership and effectiveness in cross-functional team collaboration</li><li>Ethical decision-making skills that promote organizational transparency and trustworthiness</li><li>Business-level English proficiency</li></ul><p><strong>Location</strong><br />Tokyo</p><p><strong>Compensation</strong><br />Hourly rate: ¥9,000</p><p><strong>Reference Number:</strong> 06940-0013266981</p><p><em>By 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.</em></p><hr /><p>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。</p><img src="https://counter.adcourier.com/YXlha2EubmFvdGEuMjU2NjcuMTA4OThAcmhpanAuYXBsaXRyYWsuY29t.gif">
<p>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.<br /><br />Key Responsibilities:<br /><br /><br />Regulatory Compliance:<br />Ensure full compliance with the Financial Instruments and Exchange Act (FIEA), AML/CFT regulations, and other relevant laws.<br />Liaise with the Japan Financial Services Agency (JFSA) and other regulatory bodies.<br />Monitor regulatory changes and assess their impact on business operations.<br /><br /><br />Risk Management:<br />Identify, assess, and monitor operational, legal, and reputational risks.<br />Develop and maintain risk registers and mitigation plans.<br />Conduct periodic risk assessments and internal audits.<br /><br /><br />Internal Controls & Policies:<br />Draft, implement, and update internal compliance policies and procedures.<br />Ensure robust internal controls are in place and functioning effectively.<br />Conduct compliance testing and surveillance.<br /><br /><br />Reporting & Investigations:<br />Prepare regular compliance and risk reports for senior management.<br />Investigate and report any breaches or suspicious activities.<br />Support whistleblower processes and internal investigations.<br /><br /><br />Preferred Experience:<br />Experience working in a Type 1 or Type 2 licensed firm.<br />Familiarity with investment advisory, private placement, or fund distribution operations.<br />Exposure to international compliance standards (e.g., FATCA, CRS, GDPR).</p><p>Reference Number: 06940-0013308596</p><p><em>By 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.</em></p><hr /><p>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。</p><img src="https://counter.adcourier.com/S3Jpc3RvLkNoYW4uNzc3NzUuMTA4OThAcmhpanAuYXBsaXRyYWsuY29t.gif">
<p>Role Overview:</p><ul><li>An international financial institution is seeking a Compliance Officer to lead its compliance framework in Japan. The role involves direct interaction with regulators and ensuring adherence to all applicable Japanese financial laws and regulations.</li></ul><p><br /> Key Responsibilities:</p><ul><li>Act as the primary contact point with regulators, including the Financial Services Agency (FSA).</li><li>Develop and oversee compliance programs, policies, and internal controls.</li><li>Conduct risk assessments and recommend measures to mitigate compliance risks.</li><li>Monitor regulatory developments and update internal frameworks accordingly.</li><li>Provide compliance training and advisory support to employees.</li><li>Prepare reports and documentation required by regulators.</li><li>Support internal and external audits related to compliance.</li></ul><p>Requirements: </p><ul><li>Minimum 10 years of experience in Compliance, Risk Management, or Internal Audit (2nd or 3rd line functions) within a bank or financial institution in Japan.</li><li>Strong knowledge of Japanese financial regulations and supervisory frameworks.</li><li>Proven ability to manage regulatory interactions, especially with the FSA.</li><li>Fluent Japanese language skills (written and spoken).</li><li>No nationality restriction; no statutory qualifications required.</li><li>Candidates with prior compliance leadership at institutions penalized by the FSA may not be acceptable.</li></ul><p>Reference No.: 06940-0013287795</p><p><br /> </p><p><em>By 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.</em></p><hr /><p>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。</p><img src="https://counter.adcourier.com/RGFsZS5JYmFkdXJyYWhtYW4uNDQ4NzIuMTA4OThAcmhpanAuYXBsaXRyYWsuY29t.gif">
<p><strong>About the Role</strong></p><ul><li>A global manufacturer is seeking an experienced Ethnics, Risk & Compliance Officer to lead and support compliance initiatives across its Japan operations. This role is essential in promoting a culture of integrity, ensuring regulatory adherence, and managing risk across business functions.</li></ul><p><strong>Key Responsibilities</strong></p><ul><li>Implement and monitor compliance programs aligned with global standards and local regulations</li><li>Conduct risk assessments and support mitigation strategies</li><li>Lead internal training and awareness initiatives on ethics and compliance</li><li>Serve as a trusted advisor to business leaders on integrity-related matters</li><li>Investigate and report potential violations or concerns</li><li>Collaborate with global compliance teams and external regulatory bodies</li></ul><p><strong>Qualifications</strong></p><ul><li>Bachelor's degree in Law, Business, or related field</li><li>5+ years of experience in compliance, risk management, or legal advisory roles</li><li>Strong understanding of Japanese regulatory frameworks and global compliance standards</li><li>Fluent in Japanese and English (written and verbal)</li><li>Excellent communication, analytical, and stakeholder management skills</li><li>Experience in automotive or manufacturing industries preferred</li></ul><p> </p><p><strong>Location </strong></p><p>Tokyo</p><p><strong>Salary</strong></p><p>10 - 12 million yen</p><p> </p><p> </p><p>Reference Number: 06940-0013290298</p><p><em>By 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.</em></p><hr /><p>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。</p><img src="https://counter.adcourier.com/Z2luYS5raWt1Y2hpLjc4MTI4LjEwODk4QHJoaWpwLmFwbGl0cmFrLmNvbQ.gif">
