Compliance Officer

17 hours ago

Raffles Place, Singapore Private Advertiser Full time $60,000 - $120,000 per year

Location: Tokyo, Japan

We are a diversified global investment firm trading across equities, commodities, FX, and fixed income (bonds, credit, and rates). We employ market-neutral strategies to reduce volatility and deliver consistent, risk-adjusted returns, with an expanding presence in frontier markets.

Key Responsibilities

  • Develop and maintain compliance policies and procedures for the firm's trading operations.
  • Monitor and report on regulatory compliance to senior management.
  • Manage license applications, filings, inspections, and audits with Japanese regulators.
  • Stay up to date on changes in local regulations and provide compliance guidance to management.
  • Conduct compliance training and awareness sessions.
  • Build and maintain strong working relationships with Japanese regulators, exchanges, and banks.
  • Investigate and address compliance-related issues in a timely manner.

Qualifications

  • Bachelor's degree in business, law, finance, or related field.
  • Minimum 5 years of relevant compliance experience, ideally within Japan's banking or securities industry.
  • Strong knowledge of Japanese Securities, Asset Management, and FX/Digital Asset regulations.
  • Experience with regulatory submissions to the Japanese FSA or similar bodies is a plus.
  • Native-level Japanese and business-level English.
  • Independent, proactive, and comfortable working in a startup-style environment.
  • Preferred: Candidates with direct work experience or established relationships with banks in Japan.

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