Japan Licensed Compliance Manager

A company is looking for a Japan Broker-Dealer Legal & Compliance Manager.

Key Responsibilities :

Handle regulatory communications and filings with authorities such as the Financial Services Agency (FSA) and the Japan Securities Dealers Association (JSDA)

Provide legal and regulatory review and guidance to internal departments, including Sales and Operations

Conduct customer due diligence and risk assessments for new business models and initiatives

Qualifications :

Business-level fluency in both Japanese and English

3+ years of experience in legal or compliance roles at a securities firm in Japan

Experience in communicating and filing reports with regulatory authorities

Understanding of regulatory reporting and risk management frameworks

Passed the Japan Type I Sales Representative Exam or the Internal Control Manager Qualification Exam