Description

Join a leading Asian financial services provider as the Japan Compliance Lead for its newly established securities branch. This senior leadership role will be responsible for shaping the compliance framework, managing regulatory engagement, and ensuring adherence to Japan's Type I Financial Instruments regulations. You will play a pivotal part in launching the Japan office, building strong policies, and supporting both retail and institutional growth in one of the world's most dynamic markets.
Key Responsibilities

• Liaise with local regulators on license applications, inspections, new products, and compliance inquiries.
• Advise local and regional management on regulatory and compliance matters.
• Oversee client onboarding, AML checks, and compliance recordkeeping.
• Develop and implement risk-based compliance review programs and internal audits.
• Coordinate with global offices on policy updates, reporting, and regulatory changes.
• Lead compliance training programs, update policies, and manage ad hoc regulatory tasks.

Required Skills and Qualifications Experience:

• 5+ years in Type I Financial Instruments licensed businesses.
• Strong background in compliance and regulatory matters, ideally across markets and securities products.
• Proven success in international financial firms, with overseas experience preferred.

Soft Skills:

• Self-starter with ability to thrive in a fast-paced, start-up style environment. Strong communication skills for engaging with local and global stakeholders.

Language Requirements

• Japanese: Fluent (required for regulator and client engagement).
• English: Fluent (required for collaboration with global offices).

Preferred Skills & Qualifications

• Experience managing licensing applications is advantageous.
• Strategic mindset with ability to build scalable compliance frameworks.

About the Company
Our client is a fast-growing Asian financial services provider with a global footprint in investment banking, wealth management, and brokerage services. Known for its innovation in financial technology and strong commitment to global best practices, the firm is expanding into Japan to serve both retail and institutional clients.
Why You'll Love Working Here

• Competitive executive-level package (¥20M-¥25M).
• Rare opportunity to establish and lead compliance at a new Japan branch.
• Play a key role in future COO-level leadership opportunities.
• Work with a global team driving innovation and growth in financial markets.
• Flexible work environment with remote work options.

Don't Miss Out - Apply Now!