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BBVA is a global company with more than 160 years of history that operates in more than 25 countries where we serve more than 80 million customers. We are more than 121,000 professionals working in multidisciplinary teams with profiles as diverse as financiers, legal experts, data scientists, developers, engineers and designers.

About the job:

Job Purpose & Objectives

As a senior member of the Compliance team at BBVA’s Securities firm in Japan, the Senior Compliance Officer is responsible for overseeing the firm’s compliance with all applicable local and international regulatory requirements, with a specific focus on Japan's securities laws and market conduct rules. The role involves close collaboration with business lines, internal control functions, and regulators to ensure a strong compliance culture and to mitigate regulatory and reputational risks in the context of securities brokerage, investment banking, and capital markets activities.

Key Responsibilities

Ensure the firm’s full compliance with all applicable local and international regulatory requirements, with a specific focus on Japan's securities laws and market conduct rules.

Provide expert compliance advisory to business units including Equities, Fixed Income, Investment Banking, and Sales & Trading, focusing on product approvals, marketing material reviews, suitability, and cross-border activities.

Lead the design, implementation, and continuous improvement of the local Compliance Program, including policies, procedures, monitoring frameworks, and internal controls tailored to a securities business.

Supervise regulatory reporting obligations, ensuring accuracy and timeliness, including submissions related to large shareholdings, short selling, suspicious transaction reports (STRs), and other mandated filings.

Act as the primary liaison with Japanese regulators (e.g., JFSA, JSDA) and coordinate responses to inspections, audits, and inquiries.

Conduct ongoing compliance risk assessments and lead the implementation of mitigation strategies for key risk areas such as insider trading, market manipulation, conflict of interest, and information barriers (Chinese walls).

Deliver targeted compliance training programs to front-office and support staff, including updates on new regulations and best practices in ethical business conduct.

Support internal investigations and reporting on potential compliance breaches, ensuring proper escalation, documentation, and resolution.

Contribute to regional and global compliance initiatives, ensuring alignment with BBVA Group’s standards while adapting to the regulatory nuances of the Japanese market.

Participate in internal governance committees, advising management on regulatory risks, upcoming changes, and compliance impact on strategic business decisions.

Job Specifications

Qualification & Experience

Bachelor’s or Master’s degree in Law, Finance, Business Administration, or related discipline.

Minimum 15 years of compliance experience in a securities company, investment bank, or financial regulator, with strong familiarity with the Japanese capital markets environment.

Experience dealing with securities-related regulatory bodies and self-regulatory organizations (e.g., JSDA, TSE, JFSA).

Knowledge & Skills

Deep knowledge of Japan’s securities laws, including FIEA, AML/CFT regulations, and conduct-of-business rules.

Familiarity with global standards relevant to capital markets compliance (e.g., MiFID, FATF, IOSCO).

Strong analytical and problem-solving skills with the ability to apply regulatory knowledge to practical business situations.

Proficient in compliance systems and tools used for trade surveillance, personal account dealing, and regulatory reporting.

Language

Fluent in Japanese (native level or equivalent)

Fluency in written and spoken business-level English

Other Skills (e.g. Interpersonal, Communication etc)

Strong interpersonal and stakeholder management skills with the ability to advise and challenge senior business leaders.

High integrity and ethical standards, with sound judgment in risk-based decision-making.

Adaptability to work in a global, cross-cultural, and matrixed environment.

Well-organized, self-driven, and capable of managing multiple priorities under pressure.

A team-oriented mindset with leadership potential.

Skills:

Interpersonal Communication