Compliance Assistant - Global Broker Dealer

Provide support to the compliance team, including:

• Monitor effectiveness of compliance policies and procedures, internal control and compliance risk to ensure compliance with Japanese regulations
  
• Conduct internal inspections and investigations on potential violations of compliance policies and procedures
  
• Support training for employees and consultants on changes and updates on any compliance related matters
  
• Communication with other departments in order to provide timely and value-added guidance and advice to those parties on compliance-related matters
  
• Ensure local compliance risks are identified, assessed and reported, including proper documentation and follow up
  
• Identify and report compliance issues that may require investigation
  
• Provide advisory and support of various aspects of the business in Japan regarding compliance and regulatory matters
  
• Review new product and business initiatives to implement new rules and regulations internally to ensure the business are complying with Japan regulations
  
• Communicate and interact with the regulators
  
• Update changes or new Japan regulations that come into place and act accordingly