Associate/ Senior Associate, Regulatory Compliance

Job Description

Responsibilities

The successful applicant will possess familiarity with the rules and regulations applicable to the Japanese financial industry, knowledge of the Japanese financial regulators such as the JFSA, KFB, SESC and JSDA and be comfortable dealing with clients.  

Tasks

  • Provide regulatory compliance advisory and consultancy services to clients.
  • Submit and/or review of regulatory filings and notifications.
  • Liaise and correspond with regulators and auditors.
  • Assist with periodic compliance reporting to senior management or board of directors of clients.
  • Review compliance manuals.
  • Prepare compliance checklists, registers, and calendars.
  • Prepare regulatory returns and forms.
  • Perform ad-hoc projects, such AML/CFT CDD checks.

Qualifications

Essential Criteria:

  • Bachelor’s degree in Law, Accounting, Finance, or equivalent fields
  • Experience in regulatory compliance or internal audit in Japan with financial institutions or Big 4 accounting firms is an advantage.
  • Japanese language skills in oral and written communications
  • English language skills (business conversational, with strong written communication skills)

Desired Criteria:

  • Strong MS Office skills.
  • Knowledge of regulatory compliance in Japan.
  • Experience in client facing roles would be an advantage.

Key competencies:

  • Familiar with major regulatory issues such as anti-money laundering, insider dealing, market abuse and financial crime
  • Familiar with the Japanese regulatory system particularly investment management.
  • Good communication skills.
  • Strong analytical skills with excellent attention to detail
  • Sound judgement and initiative
  • Ability to provide solutions and handle complex regulatory compliance related issues
  • Results oriented and ability to multitask

Additional information

At IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.  


Company description

IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.

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