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Regulatory Operations, Global Investment Bank
- Great career prospects
- Located in central Tokyo
About Our Client
Our client is the leading securities and investment banking company in Japan, providing institutional investors with a range of services including investment advisory and securities underwriting. They also provide individual clients with wealth management services meeting their individual long-term needs and risk tolerance and corporate clients with a wide array of specialized services based on their strong research and solution-delivering capabilities.
- Analyzes the impacts from future changes in domestic and cross-border regulations from the operations perspectives and assists operations management ensure the operational readiness.
- Outreach to Japan based clients who transact with the company affiliate entities abroad regarding business and regulatory subjects including terms-of-business update, portfolio reconciliation request, and non-US Person Swap Dealer requirement request.
- Provides oversight of Offshore JFSA GTR reporting.
- Assists business lines identify operational risk within their day-to-day processes. Also helps establish robust process governance around their functions and improve key control through ad-hoc projects and quality assurance routine.
- Serves for internal business management purposes monitoring FATCA compliance activities performed by global company affiliate entities.
- Represents the Operations at industry meetings regarding GTR reporting harmonization, legal entity identifier information enrichment, and other market-wide regulatory initiatives.
The Successful Applicant
- Minimum three-year experience in operations in financial industries
- Good understanding of financial products, processes, and risk control framework
- Strong project leading and problem solving skills
- Microsoft Office (Word, Excel, PowerPoint, Visio)
- One or more years of operational risk and control experience in financial industries preferred
- Good understanding of the regulatory environment and recent regulation development preferred
What's on Offer
・Global Financial Institution
・Competitive base salary + bonus
・Good career prospects
・Located in central Tokyo