Introduction:

We are seeking an experienced legal and compliance professional to join our Legal & Compliance team. This role provides an opportunity to contribute to a wide range of compliance and legal functions within a financial institution, ensuring adherence to regulatory requirements and supporting organizational governance.

About the Role:

The Legal & Compliance Officer will be responsible for managing legal and compliance tasks across the organization, including contract review, regulatory research, and compliance monitoring. This position is part of a small, collaborative team where proactive problem-solving and cross-functional cooperation are key. The role reports to senior management and provides support for both domestic and international operations.

Responsibilities:

• Drafting, reviewing, and managing contracts and related legal documents.
• Conducting research and analysis on the Financial Instruments and Exchange Act, the Act on Prevention of Transfer of Criminal Proceeds, the Personal Information Protection Act, the Companies Act, and other relevant regulations.
• Ensuring internal compliance with laws and regulations through guidance, training, and awareness initiatives.
• Preparing and submitting reports and filings to regulatory authorities.
• Responding to internal audits and regulatory inspections.
• Reviewing marketing and promotional materials for compliance.
• Managing AML/CFT compliance, conflict of interest monitoring, and internal whistleblowing processes.
• Supporting the Compliance Committee and organizing related internal trainings.
• Handling other internal control and governance tasks as required.

Requirements:

• Minimum of 5 years’ experience in legal and compliance functions at asset management firms, securities companies, or financial institutions.
• In-depth knowledge of relevant laws and regulations, including financial, corporate, and privacy-related legislation.
• Proactive and solution-oriented approach to identifying and resolving operational and compliance issues.
• Team player with interest in colleagues’ responsibilities and willingness to collaborate in a small organization.
• Strong Japanese writing and proofreading skills for contracts, RFPs, and official documents.
• Business-level English proficiency for reading, drafting, and communicating in legal and regulatory matters, including contracts, overseas regulations, fund documentation, and emails.
• Proficiency in MS Office applications and familiarity with business applications such as SharePoint.
• Strong communication and organizational skills.

Why Apply:

This is an excellent opportunity to take on a key legal and compliance role within a dynamic financial institution. You will play a central role in ensuring regulatory compliance, managing complex legal matters, and supporting the governance of the organization. The role offers career growth potential, exposure to regulatory affairs, and the ability to influence business operations in a high-impact environment.

Additional Details:

• Position Title: Vice President to Director
• Expected Total Compensation: ¥8.5–15 million (flexible depending on experience and qualifications)
• Employment Type: Full-time
• Selection: Direct submission of CV and resume to the hiring manager (no job site)
• Benefits: Standard social insurance and allowances apply
• Working Hours: Standard business hours
• Holidays: Standard annual leave and public holidays
• Probation Period: Applicable