IBD Advisory Compliance

  • Competitive
  • Tokyo, Tokyo-to, Japan Tokyo Tokyo-to JP
  • Permanent, Full time
  • Morgan McKinley - Tokyo
  • 16 Aug 18 2018-08-16

IBD Advisory Compliance

A good opportunity for a Compliance specialist to advise and support primary markets, IBD and research at a top Investment Bank.

Roles/Responsibilities

  • Provide advice and guidance to businesses focused on Primary Capital Markets and M&A, as well as research departments.
  • Ensure the integrity of the business and that it remains in line of local and global regulations and requirements.
  • Assist with new issuance and new-product approval.
  • Stay abreast of new laws and regulations and implement controls and governance to ensure the business implements new requirements.
  • Ensure the business is operating effective compliance policies and procedures, through training, guidance, testing and monitoring.
  • Identify and mitigate risks within the business lines, enhancing first-line control and working closely with risk management teams.

Required skills
  • At least 5 years' experience within compliance, audit or other control areas.
  • Strong analytical and risk management skills; able to identify risks and future issues.
  • Able to communicate effectively with the business and challenge senior business managers.

Preferred skills
  • Law background.
  • Experience advising primary market business lines and IBD.

About our client

Top-tier global Investment Bank with a strong presence in Japan and Asia