Join a leading global financial group as a Control Room Compliance Specialist, supporting its Global Markets Advisory team. In this vital role, you will ensure compliance with the Financial Instruments and Exchange Act, self-regulatory standards, and internal policies while preventing unfair trading practices. You'll work across departments to strengthen governance and maintain high ethical standards in global market operations.
Key Responsibilities
- Advise on compliance risks and key considerations related to market manipulation, short selling, and front-running regulations.
- Serve as secretariat for regular compliance meetings, managing minutes, documentation, and cross-department coordination.
- Liaise with regulatory authorities and industry groups, preparing internal responses to public consultations (FSA and industry associations).
- Plan and conduct compliance training programs for employees, including curriculum design and facilitation.
Required Skills and Qualifications
Experience:
- Practical experience in market-related operations within a financial institution, such as investment banking or securities.
- Bachelor's degree or higher.
Soft Skills:
- Strong ethics, accountability, and a commitment to maintaining compliance integrity.
- Excellent teamwork and collaboration skills to enhance overall team performance.
Language Requirements:
- Japanese: Native level (required for communication and documentation).
- English: Intermediate to Business level (for international collaboration).
Preferred Skills & Qualifications
- Strong understanding of financial regulations and global markets compliance.
- Ability to provide clear, practical guidance to business teams under time-sensitive conditions.
- Proactive and detail-oriented mindset, capable of identifying operational risks early.
About the Company
Our client is part of a major global financial group with an extensive domestic and international network. The company operates across retail banking, investment banking, markets, and asset management, offering diverse career paths and global exposure. The firm actively recruits global professionals and provides an environment where employees can gain international experience while based in Japan.
Why You'll Love Working Here
- Open to candidates without direct compliance experience who are eager to learn.
- Clear and diverse career development opportunities.
- Comprehensive support systems and flexible working arrangements, including remote work and flex time.
- Collaborative and professional work culture that values integrity and innovation.
Don't Miss Out - Apply Now!
