Compliance Officer / Senior Officer

Saxo Bank Securities Ltd, Japan (“SBS”) is a licensed subsidiary of Saxo Bank A/S in Denmark and has operated in Japan since 2007. We provide access to global markets for our local customers and serve as a gateway to Japan markets for our global customers. Saxo enables individual and institutional clients to trade more than 40,000 instruments globally from one single margin account and provides institutional clients such as banks and fintech with Open Banking solutions from multi-asset execution, prime brokerage services to trading technologies.

Saxo‘s multi-asset platform provides access to trade across FX, FX Options, Futures, Stock Options, Stocks, Bonds, CFD’s, Indices, etc. Our clients include Banks & Brokers, Fund Managers, Private Banks, Corporates, Investment Managers and Family Offices, HNW and retail clients.

About the Role

The Internal Control & Compliance Department is primarily responsible for compliance matters for Saxo Bank Securities Ltd. (“SBS”), including management of both internal and external risks and ensure that SBS operates to high standards of legal and regulatory compliance and in accordance with SBS’s policies and procedures.  The successful candidate will report to the Head of Compliance who is based in Japan for compliance matters and legal matters.

Responsibilities:

• To provide commercially-minded compliance support and advice on a broad range of matters (commercial, financial, regulatory, corporate, IP, IT, data protection etc.); to ensure business activities are conducted in line with applicable laws, regulations and internal policies.
• To attend to day-to-day legal tasks. Such tasks could include some reviewing and drafting of agreements, maintaining up-to-date policies and templates, preparing board documents and facilitating board meetings in Japan, handling ad-hoc queries from regulators and auditors, preparing legal documents and assessing legal and regulatory requirements with new and upcoming law and risks with respect to new business initiatives and projects
• To advise on compliance-related issues relating to licensing, AML and Know-Your-Customer, product development etc.
• Assist in reviewing promotional, marketing and advertising materials, including website.
• To plan and execute compliance and AML controls, monitoring and surveillance
• To work with Group Compliance and execute timely spot checks for SBS
• Working with internal and external stakeholders across all areas of the Saxo Bank Group to ensure all complaints are handled quickly and efficiently.  In addition, respond to and investigate client complaints
• Dealing with regulatory and other official enquiries.
• Undertaking compliance and legal training for staff.
• Participation in internal, external and regulatory audits.
• To regularly review and keep up-to-date relevant internal policies and procedures as well as client terms and agreement.

Requirements:

• 2-5 years of experience in the Legal and/or Compliance capacity within the financial industry (preferably in the fields of capital markets/securitization/derivatives).
• Good working knowledge of relevant Japan financial legislations and prior experience with dealing with Japanese regulatory authorities.
• Fluency in both written and spoken English and Japanese.
• Independent personality, with strong team working ethos.
• Business-oriented approach to the role