Join a global trading and brokerage firm as a Compliance Manager overseeing compliance governance, trade surveillance, regulatory engagement, and business advisory functions. In this role, you will work closely with business units, regulators, and regional counterparts to ensure full adherence to Japanese regulatory requirements while supporting new business initiatives, risk management, and firm-wide compliance programs. This position offers the opportunity to work in a fast-paced, technology-driven environment with broad exposure across global markets.
Key Responsibilities
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Review and approve new products, services, and marketing materials from a compliance perspective.
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Provide timely compliance guidance for business initiatives and regulatory matters.
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Lead trade surveillance activities with regional teams and respond to regulatory inquiries.
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Maintain and enhance policies and procedures related to trade monitoring.
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Conduct ongoing risk assessments and monitor compliance policies and internal controls.
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Ensure accurate documentation and implement measures to detect and mitigate compliance risks.
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Manage communication with regulatory agencies, filings, inquiries, and examinations.
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Stay up to date on regulatory changes and ensure firm-wide compliance.
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Oversee AML/CFT programs, transaction monitoring, and suspicious activity reporting.
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Conduct KYC reviews, inspections, and investigations related to potential violations.
Required Skills and Qualifications
Experience:
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5+ years of experience in 2LOD compliance or non-financial risk management within securities or global markets.
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Strong understanding of ethics, industry standards, and compliance practices.
Soft Skills:
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Strong interpersonal skills with the ability to collaborate effectively across teams.
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Professional, discreet, analytical, and proactive with strong problem-solving skills.
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Self-motivated team player with the ability to work independently when needed.
Language Requirements:
Preferred Skills & Qualifications
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Experience with AML/CFT programs, surveillance tools, or regulatory filings.
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Familiarity with electronic trading platforms or global markets operations.
About the Company
This global financial services firm provides advanced electronic trading platforms for equities, options, futures, FX, and more. With a technology-driven approach and global market access, the firm supports both institutional and individual clients worldwide. Known for efficient execution, low-cost trading, and an innovative platform, the company offers a modern, collaborative work environment.
Why You'll Love Working Here
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Competitive salary with bonus and stock grants.
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Comprehensive benefits and flexible hybrid work model.
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Global exposure with opportunities for career advancement.
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Supportive culture with modern technology and minimal overtime.
Don't Miss Out - Apply Now!
