Compliance Advisory

Permanent contract|Tokyo|Corporate and Investment Banking

Compliance Advisory

Tokyo, Japan Permanent contract Corporate and Investment Banking


Major Accountabilities/Principal Responsibilities:
  • To take care of the issues including but not limited to all Compliance, regulatory requirements governance related matters.
  • To provide professional Compliance advice to Business, Management and other departments with precise understandings of regulation as well as with professional expertise.
  • To act as a primary contact of regulators for covering area.
  • To provide professional support to the Management for any governance issues
  • To take care of inspections and examinations for SG group
  • To build strong relationship with Global Markets management in Japan and APAC
  • To evaluate and escalate issues to Head of Advisory Compliance and regional compliance management as appropriate
  • To display a proactive willingness to network with peer firms within the industry and represent SG in cases to express industry opinion at such as JSDA and IBA forums.

Profile required

Key Skill Areas & knowledge Required:
  • Professional knowledge and expertise for FIEL and appropriate level of understandings for other relevant regulations such as Banking Law.
  • Proper level of knowledge as Compliance Advisory regarding to the business conducts and global regulatory environment.
  • Interpersonal skill
  • Team Work sprits
  • Japanese (native) and English (business level) skill


JSDA, FFAJ, and CFAJ qualifications required for this position.

JSDA (Japan Securities Dealers Association) Licence
Sales Representative Level 2

Sales Representatives Level 1
Internal Administrator

FFAJ (The Financial Futures Association of Japan)
Sales Representative
Internal Administrator

CFAJ (The Commodity Futures Association of Japan)
Sales Representative
Internal Administrator

Business insight

Societe Generale is one of the leading financial services groups in Europe. Present in over 50 countries across Europe, the Americas and Asia. Societe Generale provides corporate, financial institutions, investors and public sector clients with value-added integrated financial solutions. 

Today, Societe Generale in Japan consists of four core businesses: Societe Generale, Tokyo Branch; Societe Generale Securities Japan Limited, Lyxor Asset Management Japan and Societe Generale Aircraft Leasing Company Limited. These four entities are in line with our worldwide focus on Investment Banking, Global Finance and Global Markets, and Asset Management.

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, sexual or gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Reference: 20000OFS
Entity: Societe Generale Securities Japan Limited
Starting date: immediate
Publication date: 2021/01/05