About the Company :
A Top Research-focused Securities Firm with Deep Asian Market Expertise
Responsibilities :
"Position Description
Senior Compliance Officer - Client is seeking an experienced compliance professional who is interested in expanding their expertise across a broad range of compliance functions, including advisory, monitoring, testing, and regulatory matters, in alignment with our long-term business strategy.
Key Responsibilities:
- Serve as the primary compliance advisor for the equities and derivatives businesses, providing guidance, oversight, and ongoing monitoring.
- Oversee compliance testing processes, maintain the firm’s risk inventory, and support periodic risk assessments.
- Manage all aspects of information control, including the protection of personal data, transactional information, and other sensitive or proprietary material.
- Partner with various business units on cross-selling initiatives by offering regulatory guidance and helping to design effective internal control frameworks.
- Review research publications, sales memoranda, and client-facing materials such as pitch books to ensure regulatory alignment.
- Provide advice to the Client Onboarding team regarding KYC and related regulatory requirements.
- Support the Head of Compliance in daily operational activities.
- Assist team members with routine compliance tasks, including monitoring activities and the preparation of regulatory filings."
Benefits :
In accordance with Japanese labour law
Required Experience / Abilities / Skills :
"Requirements:
- Master’s degree or higher in law, finance, business, economics, or a related field.
- At least 5 years of experience in legal or compliance roles.
- A legal qualification is a plus.
- Candidates with fewer years of experience may be considered for the Associate Director level.
- Knowledge of operations, finance, or IT is beneficial.
- Minimum of 3 years of professional experience within financial institutions.
- Strong analytical skills with the ability to handle multiple tasks simultaneously.
- Proactive, willing to take on new responsibilities, and capable of initiating risk-control projects as needed, including areas such as operational risk, information governance, and monitoring.
- Familiarity with certain products-such as derivatives, M&A, private or public offerings, commodities, or investment funds-is an advantage.
- A collaborative team player who is curious, proactive, and able to maintain a balanced, professional attitude.
- Excellent verbal and written communication skills in English.
- Proficiency in Chinese is preferred."