An international financial services company is searching for a Compliance, Regulatory Practice Group, Vice President. The successful candidate will be researching applicable rules and managing multiple regulatory matters.
Responsibilities:
Coordinate responses to requests for information received by the firm from Japanese regulators
Periodically respond to requests for information from foreign regulators
Research applicable rules and interpretive guidance
Form and coordinate working groups of relevant firm personnel
Interface with regulators regarding information requests and the firm’s responses
Conduct informational interviews and gather responsive documentation
Prepare written responses to information requests
Coordinate in-person/web-based meetings with regulators
Advise internal stakeholders on regulators’ expectations and prior firm interactions
Manage a docket of multiple regulatory matters
Requirements:
Bachelor’s degree or above in law, business, or related field
More than 5 years of relevant work experience
Knowledge with financial industry products and markets (in particular, equities-, options-, and fixed income-related products and markets)
Experience in representing financial institutions in interactions with financial industry regulators, particularly regulatory exams and inquiries is a plus
Proficient in MS Office Suite
Native level Japanese; fluent level written and verbal 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.
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