Japan: Head of Compliance
Tokyo
CEO Office – CEO Office /
Hybrid
We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.
Responsibilites:
- Liaising with the group executive management and the local authorities for the purpose of the firm’s license application(s).
- Designing, reviewing and revising compliance policies, procedures, and controls to meet applicable legislation, regulatory requirements and best practice standards.
- Conducting the business monitoring, general compliance monitoring, training and regulatory reporting as required.
- Promoting, demonstrating and embedding a strong compliance culture.
- Managing a team of compliance officers and managers.
- Liaising and reporting to relevant regulatory bodies.
- Conducting due diligence checks and ongoing AML reviews for existing clients and business partners.
- Acting as key person for the oversight of all AML/CFT and sanctions matters, including implementation of effective and sustainable controls.
- Overseeing systems and controls to identify and mitigate potential areas of AML compliance vulnerability and risks/gaps and develop/implement pragmatic corrective action plans.
- Preparing reports for senior management, auditors and external regulatory bodies as appropriate.
- Keeping up to date with all relevant regulatory changes as well as evolving best practices, carrying out gap and business impact analysis.
- Providing ongoing and ad-hoc support on compliance queries (both from internal and external stakeholders).
- Reviewing marketing materials to ensure compliance with regulatory and scheme requirements;Assisting with the identification, evaluation, monitoring and mitigation of operational risks; and proactively suggesting improvements.
- Support operational readiness for licensing, including creation of process maps, control documents, and manuals required for regulatory submissions and inspections.
- Oversee the localization and implementation of onboarding, KYC, and client servicing workflows in line with local standards.
- Coordinate operational testing and documentation for systems related to client experience, payments, trade execution, and reporting.
- Manage relationships with key vendors and infrastructure partners (e.g., banks, custodians, KYC/AML providers).
- Ensure that internal operations align with compliance obligations.
Requirements:
- Must have sufficient knowledge and experience in Japanese retail brokerage markets.
- Must have worked in a licensed capacity and understand Japanese regulations (Financial Instruments and Exchange Act etc.).
- Must be fluent in Japanese and must have a professional command of spoken and written English.
- Must reside in Japan.
- Must have strong analytical and problem-solving skills.
- Must have the ability to work independently and manage multiple priorities.
- Ideally has experience with new license applications and developing and implementing compliance and risk frameworks, policies and procedures as well as operational implementation.
What you will get in return:
• Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated.
• Work-Life Harmony: Join a company that genuinely cares about you - because your life outside of work matters just as much as your time on the clock. #LI-Hybrid
• Annual Performance Bonus: Your hard work doesn’t go unnoticed! Celebrate your achievements with a well-deserved annual bonus tied to your performance.
• Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry.
• Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team.
• Comprehensive Health & Pension Benefits: From medical insurance to pension plans, we’ve got your back. Plus, location-specific benefits and perks!
• Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
• Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.
Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.
