Legal Specialist



Tokyo, Japan
Posted on Thursday, October 12, 2023

Job Description

1. Cooperation with Cboe Global Markets (hereinafter, CGM)

・In the areas of legal, compliance and risk control, exchanging views with the various departments of CGM in order to establish appropriate methods of integration and collaboration.

・In addition, in each of the above-mentioned areas, maintaining close contact with the respective persons in the respective areas, and obtaining the necessary information from them and responding appropriately to the requests made by each of them.

・Attending internal legal, compliance and risk meetings and taking minutes, etc., as required.

2. Management of internal rules controlled by Cboe Japan Legal Compliance Department

・Assisting seniors to revise our internal rules, when there is a change in laws and regulations related to the rules.

・Monitoring the consistency between CGM's global policies and the Cboe Japan rules with the assistance of seniors.

・Regularly checking the relevance within the Cboe Japan rules and consistency of each rule.

3. Collecting information regarding laws and regulations related to Cboe Japan

・Striving to collect information on revisions to laws and regulations related to Cboe Japan's business by assisting seniors through meetings with authorities or external lawyers, and participation in external seminars and so forth.

4. Compliance work

・Mainly assisting the manager in charge of central compliance work such as reporting to the authorities, for example preparing periodic reports to the Financial Services Agency, creating periodic reports to the Japan Securities Dealers Association, etc.

・ Responsible for Self-Inspection that regularly inspects the work-flow of each department.

・ Assisting the manager in charge in carrying out daily trading surveillance work.

・ Assisting seniors and providing advice on the work of other departments from the perspective of Legal & Compliance.

Required Aptitude:

Having work experience in a financial institution. Experiences outside the Legal Department or Compliance Department will also be evaluated.

(Expecting 3 to 5 years' experience or more.)

Or, having work experience in the Legal Department of a company that is not a financial institution.

(Expecting 2 to 3 years’ experience or more.)

3. Or, law school graduate (judicial qualification is not required)

4. It is desirable to have a bachelor's degree in law.

5. Native or Fluent in Japanese, Business Level in English.

Any communication from Cboe regarding this position will only come from a Cboe recruiter who has a @cboe.com email or via LinkedIn Recruiter. Cboe does not use any other third party communication tools for recruiting purposes.