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Job Description
Responsibilities
We are seeking a highly skilled Senior Associate to join our team for the provision of compliance consultancy services to clients. The ideal candidate will have a good background in regulatory compliance and exceptional client-facing abilities. This role involves providing comprehensive compliance advisory services to clients regulated by the Financial Services Agency (FSA) or registered with the Kanto Local Finance Bureau and addressing complex compliance issues.
Tasks
- Client Management: Serve as the primary point of contact for clients, delivering compliance consultancy services to FSA-regulated financial institutions.
- Compliance Support: Efficiently handle client compliance inquiries and provide timely responses to ensure client satisfaction and compliance with regulations.
- Research and Advisory: Conduct thorough research on regulatory updates, rules, and regulations, providing clients with timely advice to navigate compliance challenges.
- Compliance Meetings: Conduct regular compliance meetings with clients, delivering comprehensive compliance reports and updates efficiently.
- Monitoring Reviews: Undertake periodic compliance monitoring reviews by executing a compliance monitoring plan tailored to each client’s needs.
- Regulatory Reporting: Draft and review regulatory reports and returns as required, ensuring accuracy and compliance with regulatory standards.
Other
- Perform any additional tasks as directed by the Associate Director to support the team and enhance client services.
Qualifications
Essential Criteria:
- Bachelor’s degree in Law, Accounting, Finance, or equivalent fields
- Excellent written and verbal communication skills in both Japanese and English in order to communicate with clients
- Sound knowledge of regulatory compliance regulations in Japan
- Minimum 2 years’ prior experience in a financial industry compliance role in Japan, for example with a regulated institution or a compliance consultancy firm.
- Collaborative attitude, able to work well as part of a team.
Desired Criteria:
- Law graduate highly preferred
- Strong MS Office skills
- Experience working at the FSA or Kanto Local Finance Bureau would be highly advantageous
- Experiences in client facing roles would be an advantage
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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