<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>Company Profile<br />Small non-life insurance firm in Japan with a global presence.<br /><br />The Role<br />- Ensure the implementation of Group Compliance policies, procedures, and guidelines at the local entity, and local reporting to Management and Regional Compliance<br />- Oversee local Data Privacy governance in line with local regulations and Group standards<br />- Implement and monitor the Financial Crime Framework<br />- Perform due diligence during client/provider onboarding and renewals, conduct Simplified Risk Assessments to identify and mitigate key risks, and review compliance and data privacy clauses in all contracts<br />- Raise Compliance and Data Privacy awareness among staff, support compliance requirements for new business initiatives, manage Anti-Bribery, Corruption, and Gift policy matters, and ensure proper escalation and mitigation of identified risks<br /><br />Your Skills<br />- Fluent Japanese and business ~ high business level English<br />- 3+ year of Compliance experience<br />- Ideally with an insurance industry background<br /><br />Key Highlights of the Role<br />- Small office in Tokyo, however it's part of a larger global insurance group<br />- Japan office is stable with low turnover rate<br />- Hybrid remote work. Work from home 1 - 2 days a week<br />- Working hours are 9AM - 5PM with good work life balance. Overtime hours are typically from 0 - 20 hours per month</p><p> </p><p>Reference Number: 06940-0013327533</p><p> </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/QnJlbm5hLkh5YWt1bm8uMzU0NDYuMTA4OThAcmhpanAuYXBsaXRyYWsuY29t.gif">
<p><strong>Company Profile</strong></p><p>A global electronic brokerage firm known for its advanced trading technology and low-cost investment solutions is seeking a Compliance Manager for its Tokyo office. The company operates in over 135 markets worldwide and is recognized for its commitment to transparency, automation, and regulatory excellence.</p><p><strong>The Role</strong></p><ul><li>As part of the Japan Compliance team, you will play a key role in ensuring the firm's adherence to local financial regulations and global compliance standards.</li><li>You will act as the primary liaison with Japanese regulators and industry bodies, oversee internal compliance programs, and support new business initiatives from a regulatory perspective.</li><li>This position reports directly to the Head of Compliance, Japan, and collaborates closely with global compliance and legal teams.</li></ul><p><strong>Your Skills </strong></p><ul><li>Minimum 5-8 years of experience in compliance within a financial institution or regulatory body</li><li>Strong knowledge of Japanese financial regulations (FSA, JFSA, JSDA, AML/CTF, etc.)</li><li>Native-level Japanese and business-level English</li><li>Experience in brokerage or trading platforms is highly desirable</li><li>Legal or regulatory qualifications are a plus</li><li>Ability to work independently and manage cross-functional collaboration</li></ul><p><strong>Key Highlights of the Role </strong></p><ul><li>Competitive base salary: ¥15M-¥20M, plus performance bonus</li><li>Be the key point of contact with Japanese regulators</li><li>Join a global fintech leader with a strong presence in Asia-Pacific</li><li>Work in a fast-paced, technology-driven environment</li><li>Opportunity to influence compliance strategy and policy in Japan</li><li>Career growth in a stable, innovation-focused organization</li></ul><p><strong>Location </strong></p><p>Tokyo</p><p><strong> </strong></p><p><strong>Salary</strong></p><p>15 - 20 million yen</p><p><strong> </strong></p><p>Reference Number: 06940-0013326676</p><p> </p><p> </p><p>----------------------------</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/S3Jpc3RvLkNoYW4uOTA2NDEuMTA4OThAcmhpanAuYXBsaXRyYWsuY29t.gif">
