コンプライアンスアソシエイト/ Compliance Associate

A leading financial services institution is looking for a Compliance Associate. The selected candidate will support firm-wide compliance projects, regulatory monitoring, risk assessments, and cross-functional coordination.

Responsibilities:

• Support remedial actions and ad-hoc compliance projects with firm-wide impact
• Coordinate with local and regional compliance officers and key stakeholders
• Assist with compliance control risk assessments and maintain related documentation
• Monitor regulatory circulars and draft compliance correspondence as needed
• Prepare regulatory questionnaires, surveys, risk assessment reports, and presentation materials
• Track and update regulatory registrations and compliance monitoring logs, including staff trading, gifts, entertainment, and conflict management

Requirements:

• Bachelor’s degree or above (finance and accounting or law are preferred)
• Understanding securities laws and regulations in Japan and risk assessment of controls and processes
• More than 4 years in external auditing, regulatory compliance and governance processes in the corporate and investment banking, treasury and capital markets business and banking activities
• Proficient in MS Office Suite
• Fluent level written and spoken English and Japanese

About the Company:

A leading financial institution providing banking, wealth management, and capital markets services to individuals, businesses, and institutional clients. The company focuses on delivering digital-first solutions and relationship-driven advice to help clients achieve their financial goals.

Keywords:

法律,法務,コンプライアンス, 法律, 求人, 外資系

Job Ref: UYU2CQ