A long-term haken Compliance position is currently available at a leading global financial services firm. In this role you will assist with compliance-related activities for the private side advisory and control room functions.

Responsibilities:

• Assist with the day-to-day coverage, including providing general compliance and transaction-specific advice
• Assist with carrying out verification checks to ensure adherence to compliance policies and to identify risk areas
• Assist with preparing and delivery of training on internal policies as well as local and global rules and regulations
• Participate in all aspects of the daily operation of the control room, including but not limited to review of insider lists, wall crossings, monitoring and surveillance, disclosures reviews, and media requests
• Assist in the review and provision of solutions to local and global policy and procedural developments

Requirements:

• Bachelor’s degree or higher
• Compliance or legal experience preferred
• Strong communication skills and the ability to interact with senior front office staff as well as personnel from other areas of compliance and infrastructure functions
• Ability to meet deadlines in challenging situations
• Proficiency in Japanese preferred

About the Company:

A subsidiary of one of the largest investment banks in the world, this company specializes in providing security brokerage and dealing services to a variety of companies and institutions.

Keywords:

金融, 金融業, 銀行, 投資銀行, 信託, ファイナンス, コンプライアンス, リスク, リーガル

1065370/001