The Head of Compliance role is responsible for leading all compliance and risk-related activities within the organisation. This position plays a critical role in ensuring regulatory adherence, strengthening governance frameworks, and supporting sustainable business operations through effective compliance oversight.
Responsibilities
Manage compliance and risk activities, ensuring adherence to regulatory requirements and internal policies
Develop and maintain compliance procedures, internal controls, and staff training programmes
Oversee sales, marketing, and client-facing activities to ensure regulatory compliance and appropriate conduct
Handle regulatory filings, registrations, and relationships with regulatory bodies and industry associations
Conduct compliance reviews and risk assessments, identifying and addressing potential issues
Prepare reports for senior management and coordinate audits, inspections, and regulatory reviews
Lead compliance team members and collaborate with business functions to enhance governance and control frameworks
Requirements
Strong knowledge of the Japanese financial regulatory environment, gained within licensed investment or securities businesses
Familiarity with investment products for retail clients; experience with pooled investment vehicles or wealth management solutions is beneficial
Experience supporting regulatory compliance in customer-facing financial services operations
Proven involvement in regulatory examinations, supervisory reviews, or engagement with regulatory authorities
Ability to communicate effectively in both Japanese and English within a professional business environment
Strong understanding of how compliance and regulatory considerations support broader business objectives
Benefits
Health insurance
Employees’ pension insurance
Employment insurance
Industrial injury insurance
About the company
A company that provides financial insights and analysis by leveraging internal resources, financial data, and market research. It supports clients by offering carefully selected financial products based on thorough analysis and industry expertise.