Japan Broker-Dealer Legal & Compliance Manager

Business-level fluency in Japanese and English 3+ years of experience in legal or compliance roles at a securities firm in Japan Experience in at least two of the following: regulatory authority communication/filing, transaction monitoring/customer review (AML, trade surveillance), contract review, supporting board/shareholder meetings, drafting internal policies Understanding of regulatory reporting and risk management frameworks Strong communication and collaboration skills Ability to work independently, manage multiple responsibilities, and prioritize tasks Passed Japan Type I Sales Representative Exam or Internal Control Manager Qualification Exam

Handle regulatory communications and filings with authorities (FSA, JSDA) Coordinate internal communication and submit reports for incidents Provide legal and regulatory guidance to internal departments Conduct customer due diligence and risk assessments Liaise with external legal advisors Lead remediation projects for audit findings Oversee internal policy governance and enhance risk management systems Collaborate with global group entities on risk management Plan and deliver compliance training programs Monitor and inspect Financial Instruments Intermediary businesses for compliance Perform compliance checks for anti-money laundering and transaction monitoring