Compliance Assistant

Roles/Responsibilities:

Be responsible for providing the following supports to Compliance teams:

• Monitoring effectiveness of compliance policies/procedures, internal control, and compliance risk by complying with Japan regulations
• Conducting internal inspections/investigations on potential violations of compliance policies and procedures
• Providing training for employees and consultants on changes/updates on any compliance related matters
• Communicating with other departments in order to provide timely and value-added guidance and advice to those parties on compliance-related matters
• Ensuring the local compliance risks are identified, assessed, and reported, including proper documentation and follow up
• Identifying and reporting compliance issues that may require investigation, according to the Japan regulations
• Providing advisory and support of various aspects of the business in Japan regarding compliance and regulatory matters
• Reviewing new product and business initiatives to implement new rules and regulations internally to ensure the business are complying with Japan regulations
• Communicating and interacting with the regulators
• Updating changes or new Japan regulations that come into place and act accordingly
• Other Compliance related matters

Requirements:

• Japanese Native and fluent in English
• Prior working experience in Compliance or Back office in Type I registered firm
• PS Skills such as MS Word and Excel

Company Benefits & Perks