ANZ

Head of Markets Compliance

ANZ

full-time

Posted on:

Location Type: Office

Location: Tokyo • Japan

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Job Level

Lead

About the role

  • Provide proactive compliance advice and alternative solutions to support new Markets business initiatives.
  • Ensure proper Markets product governance from a local regulatory perspective.
  • Monitor Markets business activities to minimise regulatory risk and protect ANZ’s reputation, with focus on conduct, licensing, and Firewall/Chinese Wall requirements.
  • Build and maintain strong relationships with local regulatory bodies (e.g., FSA, JSDA).
  • Lead ad‑hoc incident reporting, regulatory filings, sales representative registrations, and periodic regulatory reporting.
  • Develop and maintain the annual Markets compliance action plan, including compliance training for Markets teams.
  • Review and challenge the effectiveness of 1st Line of Defence controls to prevent misconduct or incidents.
  • Act as the primary source of updates on new or revised regulatory requirements for Markets, leveraging networks such as JSDA and IBA.
  • Update and manage regulatory obligations registers for the Markets business.
  • Maintain and periodically review regulatory reporting registers, ensuring 1st Line attestation and regulatory alignment.
  • Evaluate compliance impacts related to internal incidents or events within the Markets business.
  • Support the Chief Compliance Officer and team members, acting as a strong culture carrier and demonstrating leadership potential within ANZ Japan.

Requirements

  • Extensive Markets Compliance Advisory experience across fixed income, FX, commodities, and derivatives within a foreign securities firm in Japan.
  • Strong communicator with business‑level fluency in both Japanese and English (verbal and written).
  • Deep experience in regulatory filings and incident reporting with JFSA, JSDA, and other regulatory bodies.
  • Strong knowledge and understanding of markets (banking/securities) products — including fixed income, FX, commodities, and derivatives — and the associated regulatory obligations under banking/securities laws, regulations, and industry guidelines.
  • A collaborative team player who demonstrates strong cultural alignment and the capability to grow into a future leadership role at ANZ Japan.
  • JSDA Sales Representative Series 1 and Internal Control Manager (Naikan) licence.
Benefits
  • access to health and wellbeing services
  • discounts on selected products and services from ANZ
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
Markets Compliance Advisoryregulatory filingsincident reportingregulatory obligations1st Line of Defence controlscompliance trainingregulatory reportingconduct risk managementlicensing requirementsregulatory risk assessment
Soft Skills
strong communicatorcollaborative team playerleadership potentialcultural alignmentrelationship buildingproactive problem solvingstrong interpersonal skillsadaptabilitycritical thinkingattention to detail
Certifications
JSDA Sales Representative Series 1Internal Control Manager (Naikan)