Senior Compliance Officer, Japan

Role summary

The Senior Compliance Officer, Japan is responsible for managing and maintaining LCH’s compliance with the Japanese regulatory framework as it applies to central clearing services. The role involves communicating with and developing a relationship with the Japanese authorities (Japan FSA and Bank of Japan) and building sufficient understanding of LCH clearing services to engage credibly with regulators, internal stakeholders and senior management.

The Senior Compliance Officer, Japan is part of the Regulatory Advisory team, that acts as the primary channel for communication between our businesses and the regulators, handling applications in relation to new product initiatives as well as managing review and information requests arriving from the regulators.  They are also the first point of contact when a business seeks advice about the interpretation of current or forthcoming regulations.

The Senior Compliance Officer, Japan, will report to the Senior Regulatory Advisor, APAC and provide support across the team with business initiatives, regulatory requests, managing trackers information management. The individual will also work closely with the APAC and global Legal team and local counsel based in Tokyo.

The role is based in the Tokyo office.

Compliance in LCH Ltd

The Compliance department is organised into two teams, the Regulatory Advisors and Core Compliance, under the Chief Compliance Officer who reports into the CEO of LCH Ltd.  There is a functional reporting line into the Group Chief Compliance Officer.

Compliance is responsible for ensuring that the business can operate and develop within regulatory framework.  The function manages LCH’s relationships with its regulators.  This includes overseeing compliance with reporting requirements; managing new licence and product applications; and conducting periodic assurance reviews of compliance with regulations.

The vision is to keep the firm aligned with best practice in terms of regulatory compliance.  To do this we recruit and retain motivated, talented staff; deepen our relationships with regulators in all relevant jurisdictions; maintain a robust monitoring function to give senior management assurance about compliance with regulations and continually reassess our processes to innovate and find better ways of doing things.

What you'll be doing:

• Managing and maintaining compliance with Japanese regulatory requirements applicable to central clearing services. This includes communicating with the Japan FSA and Bank of Japan, coordination with the rest of the Compliance team and other departments to provide necessary reporting, notifications and other requested information, and translating between English and Japanese
• Regular compliance monitoring of business operations, identification and resolution of issues and other relevant services. This may involve drafting and managing internal rules and other manuals related to compliance

• Planning and implementing periodic compliance training and providing information on compliance

• Support Head of Japan, Post Trade and Tokyo staff in relation to compliance and regulatory matters

• Assist with the core activities of coordinating of regulatory assessments and submissions and obtaining approvals for business initiatives

• Assist with the ongoing provision of Compliance advice and guidance to the business, including reviewing and analysing current and proposed Japanese regulations and consultations

• Draft minutes from regulatory meetings, maintain and monitor management trackers and internal reports

• Participate in the production of internal reports and the monitoring of regulatory developments

• Build relationships with the business and internal stakeholders including in Singapore, Sydney and London

What you'll bring:

• Strong written and verbal communication skills in both English and Japanese and attention to detail
• Sound organisational and time management skills

• Ability to work effectively with colleagues and clients effectively at all levels

• Self driven and proactive, with strong ability to take initiative and work independently

• Experience in a compliance, legal, audit, or post trade operational environment would be desirable

• An understanding of, or familiarity with the Financial Instruments and Exchange Act and/or the regulatory issues impacting market infrastructure would be desirable

Career Stage:

Senior Associate

London Stock Exchange Group (LSEG) Information:

Join us and be part of a team that values innovation, quality, and continuous improvement. If you're ready to take your career to the next level and make a significant impact, we'd love to hear from you.

LSEG is a leading global financial markets infrastructure and data provider. Our purpose is driving financial stability, empowering economies and enabling customers to create sustainable growth.

Our purpose is the foundation on which our culture is built. Our values of Integrity, Partnership, Excellence and Change underpin our purpose and set the standard for everything we do, every day. They go to the heart of who we are and guide our decision making and everyday actions.

Working with us means that you will be part of a dynamic organisation of 25,000 people across 65 countries. However, we will value your individuality and enable you to bring your true self to work so you can help enrich our diverse workforce.

We are proud to be an equal opportunities employer. This means that we do not discriminate on the basis of anyone’s race, religion, colour, national origin, gender, sexual orientation, gender identity, gender expression, age, marital status, veteran status, pregnancy or disability, or any other basis protected under applicable law. Conforming with applicable law, we can reasonably accommodate applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs.

You will be part of a collaborative and creative culture where we encourage new ideas. We are committed to sustainability across our global business and we are proud to partner with our customers to help them meet their sustainability objectives. Our charity, the LSEG Foundation provides charitable grants to community groups that help people access economic opportunities and build a secure future with financial independence. Colleagues can get involved through fundraising and volunteering.

LSEG offers a range of tailored benefits and support, including healthcare, retirement planning, paid volunteering days and wellbeing initiatives.

Please take a moment to read this privacy notice carefully, as it describes what personal information London Stock Exchange Group (LSEG) (we) may hold about you, what it’s used for, and how it’s obtained, your rights and how to contact us as a data subject.

If you are submitting as a Recruitment Agency Partner, it is essential and your responsibility to ensure that candidates applying to LSEG are aware of this privacy notice.