Head of Compliance

An international financial firm new to the Japan market is seeking an experienced compliance officer to lead the function

Roles/Responsibilities

• Advise the business to ensure compliance with all relevant laws and regulations
• Conduct risk and governance self assements to improve frameworks, policies and procedures
• Help to instill a risk culture as the business develops and evolves
• Provide leadership to a junior compliance staff
• Liase with key regulatory authorities regarding inspections and reporting

Required skills

• 5+ years experience in Compliance, ideally with some people management experience
• Experience with Type II Financial Instruments / Securities
• Good interpersonal skills with a strong interest in helping a business grow

About our client

Our client specialises in unique international savings & investment products for retail investors in Japan