This is a senior Compliance Advisory position supporting the Fixed Income business (Bonds, Derivatives, Structured Products) at a globally leading investment banking group. You will provide regulatory guidance to front office teams while strengthening governance frameworks in line with Japanese financial regulations.
As part of the Second Line of Defense (2LOD), you will work closely with business stakeholders, contributing not only to regulatory compliance but also to new product review, risk design, and control enhancement within the Japanese market.
Key Responsibilities
- Provide compliance advisory and support across Fixed Income, Structured Products, Derivatives, and NPL / restructuring transactions.
- Strengthen governance and internal controls in line with FIEA (Financial Instruments and Exchange Act), Money Lending Business Act, Insurance Business Act, and other Japanese regulations.
- Participate in new product and transaction scheme approval processes, ensuring regulatory alignment.
- Monitor regulatory developments and enhance internal compliance frameworks accordingly.
- Lead responses to regulatory authorities and internal audits, including proper escalation of material issues.
- Design and deliver compliance training programs for business teams.
- Conduct risk analysis within assigned coverage areas to reinforce internal controls and support front-line risk management.
Required Skills and Qualifications
Experience:
- Minimum 3 years of experience in Compliance or Legal within the Fixed Income space.
- Practical understanding of Derivatives and Structured Products transactions.
- Deep knowledge of Japanese financial regulations.
- Experience communicating with regulatory authorities.
Soft Skills:
- Proactive approach to identifying risks and proposing practical solutions.
- Strong analytical capability with balanced judgment.
- Ability to collaborate effectively with diverse stakeholders.
- Excellent multitasking skills in a fast-paced financial environment.
Language Requirements:
- Japanese: Fluent
- English: Fluent
Preferred Skills & Qualifications
- Experience in global financial institutions.
- Exposure to complex structured finance or capital markets transactions.
About the Company
Our client is a globally recognized investment banking group with a strong and established presence in Japan.
The firm operates at the forefront of international capital markets, supported by advanced risk management and compliance frameworks. This environment offers the opportunity to deepen both technical expertise and global exposure within a highly respected financial institution.
Why You'll Love Working Here
- Play a core role supporting frontline Fixed Income businesses at a global investment bank.
- Engage in highly specialized areas including Structured Products and Derivatives.
- Influence business decisions as a key 2LOD compliance partner.
- Contribute to new product approvals and strategic risk design.
- Build a long-term career at a major global financial institution with a strong Japan presence.
Don't Miss Out - Apply Now!
