投資銀行業務コンプライアンス/ Investment Banking Compliance

A multinational investment bank is looking for an Investment Banking Compliance. The chosen applicant will be responsible for providing real-time advice to Investment Banking personnel on various issues.

Responsibilities:

• Provide real-time advice to Investment Banking personnel on compliance, regulatory, policy and reputational issues
• Create controls and surveillance to verify adherence to laws, regulations, and firm policies
• Ensure appropriate policies and procedures are in place for Investment Banking
• Work closely with Investment Banking and Legal in responding to regulatory inquiries
• Test and monitor controls, surveillance, and procedures
• Prepare and deliver live and online training on divisional policies

Requirements:

• Bachelor’s degree or above (MBA, Law or similar advanced degree or qualification is a plus)
• More than 2 years of related work experience (compliance, legal or business role at an investment bank, securities company or law firm is preferred)
• Excellent interpersonal and presentation skills
• Strong analytical, research and fact-gathering skills
• Prior legal or compliance experience in the finance industry (Equity Capital Markets or M&A transactions) is advantageous
• Qualifications:
  • JSDA Class 1 Representative Exam / 一種外務員資格試験
  • JSDA Internal Control Manager Exam / 内部管理責任者資格試験
• Fluent level written and verbal Japanese and English

About the Company:

An award-winning financial services firm with a long history of successful operations. They offer a wide range of investment management services for clients around the world.

Keywords:

投資, 銀行, 金融サービス, 法律, 法務, 外資系

2102770/001