Head of Compliance

Head of Compliance – Japan Tokyo, Japan | Full-time | Hedge Fund Overview Our client, a prime-brokerage firm now expanding to a global systematic hedge-fund, is seeking a Head of Compliance to lead its Japan compliance function. The ideal candidate will have a strong understanding of Japan’s Financial Instruments and Exchange Act (FIEA) and relevant financial regulations. This individual will oversee all compliance, licensing, and regulatory activities while partnering closely with the firm’s global legal and operations teams. Key Responsibilities Serve as the primary compliance lead for Japan, ensuring the firm’s activities fully adhere to FIEA and all applicable local laws.Advise senior management on regulatory developments and compliance risks. Oversee regulatory reporting, internal controls, and communication with the Financial Services Agency (FSA) and other authorities. Develop and maintain internal compliance policies and procedures in line with global standards. Conduct compliance reviews, risk assessments, and staff training. Collaborate with global legal and compliance teams to align policies and ensure consistency across regions. Support new business initiatives, licensing, and product launches in Japan. Manage any compliance investigations, audits, or inquiries. Requirements 5–10 years of relevant compliance experience within financial services, proprietary trading, or asset management, with demonstrated familiarity with FIEA. Proven ability to manage local regulatory relationships (FSA, exchanges, etc.). Strong understanding of Japanese financial markets and regulatory frameworks. Excellent written and verbal communication skills in both Japanese and English. Bachelor’s degree in Law, Finance, or a related field required. Preferred Qualifications (not hard requirements) Certified attorney (Bengoshi) with experience in corporate or financial law, ideally at a leading law firm (Senior Associate or Partner level). Experience advising on trading, derivatives, or securities-related matters. Prior experience leading or establishing compliance functions in Japan. Location: Tokyo, Japan Compensation: Highly competitive, commensurate with experience.