Compliance & Legal – Senior Regulatory Compliance Officer

About Us:
Huatai International Financial Holdings Company Limited (“Huatai International” or “the Company”), is the only overseas wholly-owned or controlled subsidiary of Huatai Securities. Huatai International is the Huatai Group’s international arm which plays as a crucial role in the group's internationalization strategy by:
a) not only providing offshore capital market services (and a global business platform) but also provides onshore clients with valuable cross-border capital market services (aligned with the mainland China government’s policies and commercial intentions);
b) actively making use of Huatai Securities’ leading position, distribution network and customer base in mainland China;
c) integrating on a global basis across many jurisdictions and regions, a successful and fully integrated international financial platform with innovative financial services solutions.

Huatai International operates as a holding company for consolidating all of the group’s cross-border businesses and companies under one umbrella, offering a truly unified and international business platform. In recognition of such international strength, the renowned international rating agency Standard and Poor’s has assigned Huatai International a “BBB+” rating (for long term) and “A-2” (for short-term).

Job Description:

The Senior Regulatory Compliance Officer in Japan will lead efforts in securing licenses, overseeing compliance matters for new business ventures and products, handling regulatory inspections and inquiries, ensuring strict adherence to Japanese financial regulations, developing tailored compliance policies, conducting risk assessments, providing comprehensive training, monitoring compliance activities, investigating breaches, staying updated on regulatory changes, fostering collaboration, supporting audits, and upholding ethical standards throughout the organization.

• Interface with regulators for license applications, new business/products, and compliance matters, managing regulatory inspections and inquiries.
• Provide guidance to local and regional management on regulatory and compliance issues.
• Support client onboarding and Anti-Money Laundering (AML) concerns.
• Develop and execute the annual compliance review program, targeting operational areas based on risk assessments.
• Cultivate relationships with regulators and external legal firms, staying updated on regulatory changes to ensure compliance.
• Collaborate with overseas offices to compile compliance reports for regional and Headquarters Compliance, and distribute compliance-related information.
• Maintain compliance records, assist in inspections and audits, and oversee compliance training programs and records.
• Assist in formulating, implementing, and revising compliance policies and procedures.
• Handle ad hoc tasks as required.

Qualifications:

• A resident of Japan holding a degree from a reputable university.
• Possess a minimum of 10 years of experience, with at least 5 years in Compliance, Legal, Audit, or regulatory roles within licensed securities companies or a relevant role in regulators.
• Familiarity with Japanese securities industry regulations and market practices.
• Prior experience in engaging with regulators and team leadership is advantageous.
• Exhibit maturity, thoughtfulness, strong analytical and problem-solving abilities to establish a compliance framework
• Demonstrated proactivity, teamwork, and independence in work approach.
• Proficient in project management, with strong interpersonal, coordination, and communication skills.
• Strong business communication skills in English