Join a leading international banking and markets group as a Securities Compliance & Trade Surveillance Specialist, supporting the continued expansion of its institutional securities business in Japan.

Based in Tokyo, this is a hands-on second-line compliance position covering trade surveillance, electronic communications monitoring, regulatory compliance, Personal Account Dealing (PAD), Outside Business Interests (OBI), and Gifts & Entertainment controls.

You will work closely with local compliance leadership and regional stakeholders to maintain a robust compliance and monitoring framework as the business expands. The role also provides exposure to JSDA-related administration, regulatory reporting, economic sanctions screening, client complaint management, and broader compliance governance.

For an experienced securities or investment banking compliance professional, this is an opportunity to take on a high-impact role within a growing international platform and contribute directly to the development of its Japan compliance framework.
Key Responsibilities

• Oversee daily trade surveillance across institutional securities activities, identifying and escalating potential compliance issues where appropriate.
• Conduct electronic communications monitoring to support regulatory and internal compliance requirements.
• Manage core compliance processes including Personal Account Dealing (PAD), Outside Business Interests (OBI), and Gifts & Entertainment reviews.
• Manage JSDA sales representative registrations and related administrative processes.
• Coordinate and monitor ongoing regulatory training requirements.
• Support regulatory and administrative filings as required.
• Assist with economic sanctions screening and related compliance controls.
• Support office and system access control processes from a compliance perspective.
• Assist with reviews and maintenance of information asset registers.
• Support regulatory reporting and ensure relevant compliance information is appropriately captured and maintained.
• Manage and maintain client complaint logs and related compliance records.
• Support broader second-line compliance governance and monitoring activities.
• Partner closely with local compliance leadership and regional stakeholders to maintain an effective control framework during business expansion.
• Contribute to the continued development of compliance processes appropriate for a growing institutional securities platform in Japan.

Required Skills and Qualifications Experience:

• 5+ years of experience within a securities firm or investment bank.
• Hands-on experience within a compliance function, such as trade surveillance, monitoring, core compliance, or regulatory affairs.
• Practical understanding of compliance requirements within a regulated securities or investment banking environment.
• Experience working with compliance monitoring, controls, governance, or regulatory processes.
• Ability to work with local and regional stakeholders in an international financial services environment.
• More than 6 years of professional experience overall.
• Bachelor's degree.

Soft Skills:

• Strong self-starter mindset with the ability to work independently.
• Excellent self-management skills and the ability to take ownership of day-to-day compliance responsibilities.
• Comfortable operating in an agile, hands-on, and evolving business environment.
• Strong attention to detail when handling surveillance, monitoring, regulatory, and compliance processes.
• Sound judgement when reviewing compliance matters and identifying issues requiring escalation.
• Strong communication and stakeholder management skills.
• Ability to collaborate effectively with local compliance leadership and regional teams.
• Comfortable working within a growing business where compliance processes and controls continue to evolve.

Language Requirements:

• Japanese: Native level
• English: Fluent
• Strong bilingual communication skills are essential for working effectively with local regulators and global counterparts.

Preferred Skills & Qualifications

• Familiarity with fixed income products is beneficial but not required.
• Experience within an institutional securities or capital markets environment.
• Exposure to JSDA-related registrations, regulatory training, or filings.
• Experience with PAD, OBI, Gifts & Entertainment, sanctions screening, or similar core compliance processes.
• Experience working within an international banking or securities organisation.

About the Company
Our client is a leading international banking and markets group expanding its institutional footprint across major APAC financial centres.

The organisation is developing its securities platform in Japan with a particular focus on institutional markets and fixed income. Supported by the resources and capabilities of a strong global parent group, the Tokyo business combines local market expertise with international infrastructure and regional collaboration.

As the Japan platform expands, Compliance plays an important role in establishing and maintaining the surveillance, monitoring, governance, and regulatory controls required to support sustainable business growth.
Why You'll Love Working Here

• Join a new and expanding international securities platform in Tokyo at an important stage of its growth.
• Take on a high-impact compliance role with broad exposure across trade surveillance, monitoring, regulatory affairs, and core compliance.
• Work closely with an experienced local compliance leadership team.
• Gain direct involvement in the development of a focused fixed income and institutional securities business.
• Benefit from the resources and support of a strong global banking and markets group.
• Collaborate with both Japan-based and regional stakeholders in a highly international environment.
• Enjoy high visibility and the opportunity to contribute directly to the development of the Japan compliance framework.
• Work from a new office location in Tokyo's financial district.
• Benefit from flexible working hours.
• Receive a competitive annual compensation package of ¥17M-¥20M.

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