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Morgan McKinley - Tokyo

Equity Compliance Manager

Morgan McKinley Tokyo, Japan
Posted 15 days ago Permanent ¥17M to ¥20M
An opportunity to join a dynamic and exciting technology focused on-line securities firm, offering innovative financial solutions to both retail and institutional clients.

Roles/Responsibilities
  • Advise the country manager and senior global leadership on equity compliance for Japan, enabling the sustainable growth of the business in Japan.
  • Monitor and ensure compliance with Japanese securities regulations and global standards related to equity trading.
  • Liaise with regulatory bodies such as the Financial Services Agency (FSA) and the Japan Securities Dealers Association (JSDA).
  • Interpret and implement new regulatory requirements, providing guidance and training to relevant business units.
  • Develop, review, and update compliance policies and procedures related to equity trading.
  • Conduct surveillance of equity trading activities to detect and prevent regulatory breaches and market abuse.
  • Perform compliance risk assessments to identify and mitigate potential risks in equity trading operations.
  • Develop and deliver training programs to enhance employees' understanding of compliance requirements and ethical standards.
  • Provide expert advice to business units on compliance-related matters, including new product development and strategic initiatives.
Required skills
  • Minimum of 5-7 years of experience in compliance within the financial services industry, with a focus on equity trading.
  • Proficiency in both Japanese and English, with excellent written and verbal communication skills in both languages.
  • Strong knowledge of Japanese securities regulations and global compliance standards.
Preferred skills
  • Proficiency in compliance monitoring tools and software.
About our client

An innovative global online retail securities firm, committed to providing clients with innovative and secure trading solutions. They offer a broad range of investment options and financial services, with a focus on equity trading.

Job ID  JN -062024-1962828
ABOUT COMPANY
Tokyo, Japan
HR & Recruitment
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