Job Categories

Senior Analyst, Compliance


Macquarie Capital Securities Japan (“MCSJL”) has an opportunity within the Compliance department for a junior equity compliance advisory role.

Initially, you will focus on Cash Equity trade surveillance and progressively take on more advisory and oversight responsibilities. Cash Equity trade surveillance responsibilities will include conducting daily trade surveillance and handling irregular trade alerts identified from the surveillance.  You will be dealing with inquiries from regulators such as TSE, SESC, and engaging in other monitoring or control activities such as communication monitoring and access review.

You will also provide support to central compliance, working closely with the Asia Compliance team to ensure consistent application of regional and global policies and practices in Japan. You will manage, coordinate and file regulatory reports with financial authorities including FSA, JSDA, JPX, etc. on a regular and ad-hoc basis. You will monitor regulatory changes affecting business and evaluate the potential impact and coordinate proper dissemination of those and necessary update of relevant internal rules.

Joining as part of a small team of compliance professionals and report into the Head of Compliance, Japan, it is expected that you will carry out and engage in various administrative tasks relating to compliance operations and regulatory and transactional issues and queries.

You should have a minimum of 1 - 3 years’ experience in a global investment bank, preferably within the compliance department.  You should have a good level of knowledge and experience in Cash Equity trade surveillance or Cash Equity trading related expertise or knowledge.  You should also have a good understanding of Japanese rules and regulations relating to the equity business and trading generally. Experience of engagement for regulatory inspections such as FSA, SESC, SRO would be highly valued. Some experience or understanding of Central Compliance at a global financial institution would also be considered.

You are expected to be self-motivated, have a desire to learn and to work independently or as a team. Outstanding interpersonal and communication skills with a fluency in Japanese (reading/writing about the local regulations and guidelines) and business level English is required.

About the Risk Management Group

The Risk Management Group (RMG) is an independent, centralised unit responsible for ensuring all risk across Macquarie are appropriately assessed and managed. Its divisions include Behavioural Risk, Compliance, Credit, Financial Crime Risk, Internal Audit, Market Risk, Operational Risk, Regulatory Affairs and Aggregate Risk, and RMG Enterprise Support.

Our commitment to Diversity and Inclusion 

The diversity of our people is one of our greatest strengths, and in combination with our inclusive environment, it enables us to deliver innovative and sustainable outcomes for our people, clients, shareholders and communities. From day one, you'll be encouraged to be yourself and supported to perform at your best. If our purpose of ‘empowering people to innovate and invest for a better future’ is as inspiring to you as it is to us, please apply. With the right technology, support and resources, our people can work in a range of flexible ways.

We are committed to providing a working environment that embraces and values diversity and inclusion. We encourage candidates to speak with a member of our recruitment team if you require adjustments to our recruitment process to support you, and the type of working arrangements that would help you thrive.

About Macquarie

A career at Macquarie means you’ll have the opportunity to develop and utilise new skills, explore interesting fields and do challenging work that will impact the lives of people around the world—whether it’s accelerating the green energy transition, helping sustain global food supplies, financing social housing projects or investing in essential infrastructure. At Macquarie, we’re empowering people to innovate and invest for a better future.

Our size and international presence means your work can take you anywhere—across business groups, disciplines, sectors and borders. With 16,000+ employees and offices in 32 markets around the world, we’re a truly global organisation.

You’ll be supported by a diverse team where the unique perspectives, ideas and experiences that all of our people bring are valued. You’ll be empowered to address unmet needs in our communities whilst advising and investing alongside our clients and partners. Working with us, you’ll have the opportunity to make a difference.

Macquarie is a global financial group providing clients with asset management, retail and business banking, wealth management, leasing and asset financing, market access, commodity trading, renewables development, specialist advisory, capital raising and principal investment.

Find out more at

Job no: RMG-958040
Work type: Permanent - Full time
Location: Tokyo
Category: Junior, Compliance, Legal & Regulatory
Group: Risk Management Group
Division: Compliance
Recruiter: Venus Chan
Opening Date: