Plan and support sales strategies for individual and mid-sized corporate customers, set and monitor KPIs, develop DX-enabled sales methods, and provide succession and asset-management solutions to affluent business owners in Tokyo.
About this role
The Compliance Officer will belong to the Wholesale Compliance Department within the Compliance Group. The role supports individual matters across the wholesale business, including both primary and secondary activities. Responsibilities include advising on regulatory compliance and conflict-of-interest issues, as well as supporting the development and operation of compliance frameworks. Conflict-of-interest matters are handled in coordination with companies across the Mizuho Financial Group.
The role covers markets compliance for both equities and fixed income. The relevant business also includes cross-border activities. Candidates may have experience in wholesale business, and front-office experience may be considered even without prior compliance experience. Experience at a financial institution, law firm, or accounting firm is also accepted as a qualification route.
Business-level English is welcomed. Experience negotiating directly with regulators, including responding to inspections, is advantageous. Product knowledge sufficient to respond to front-office consultations, the ability to provide accurate advice to front-office and related departments, and coordination and negotiation skills are also valued. The role further seeks practical knowledge of relevant regulations and an interest in following current regulatory developments.
The position is based in Otemachi, Tokyo. It is a permanent employee position with a six-month probationary period. Indoor smoking is prohibited.
This is an AI-generated summary of the employer's original posting — details can be incomplete, out of date or simply wrong. Always confirm everything on the official posting before applying.
Similar jobs
Propose asset-management solutions to corporate clients across multiple industries. The role requires at least three years of corporate sales experience at a securities company and may be based in Tokyo or Osaka.
Lead enterprise-wide digital transformation strategy and execution across Mizuho Securities and the financial group. Manage AI, data, and business reform projects, coordinate stakeholders, report to executives, and mentor DX personnel.
Supports corporate strategy, budgeting and variance management, executive meeting operations, cross-functional project coordination, and AI-enabled process improvement within Rakuten's insurance business.
Lead DX transformation projects in logistics and SCM, collaborating with managers and driving change from conception to execution.
Plan Japan sales strategy, improve processes, analyze market and sales data, and coordinate KPI-based initiatives and campaigns with sales, marketing, and leadership.