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 posting 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. Standard working hours are 8:40 to 17:10, with 7.5 working hours and a 60-minute break; flextime may apply depending on the department. Saturdays, Sundays, public holidays, and specified year-end holidays are non-working days. Annual paid leave is 21 days, subject to a reduced amount in the first year depending on the hiring month. Overtime and holiday work may be required. Compensation is determined through discussion based on experience, ability, and suitability. Commuting expenses and certain other allowances are provided under company rules. Social insurance, an employee stock ownership plan, childcare babysitter discounts, housing-related programs, asset-building support, and leisure support are available. Indoor smoking is prohibited.
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