Coverage Advisory : Job Level - Vice President
Core
Provide compliance guidance, policy making, and training for the equity business in Japan, supporting Sales & Trading Compliance and ensuring adherence to Japanese laws and regulations.
Role type
Vice President, Compliance Advisory (Equity)
Builds
Compliance controls and regulatory adherence for equity trading activities
Domain
Financial Services / Equity Trading / Compliance
Required skills
Japanese regulatory knowledge, Equity trading compliance, Risk assessment, Internal control design, Regulatory investigation handling, New product approval review, Compliance training delivery, Policy interpretation
Preferred skills
Sales and trading experience, Global program coordination, Analytical skills, Detail-oriented approach, Multitasking under deadlines
Technologies
Compliance frameworks, Regulatory databases, Internal control systems
Responsibilities
Provide compliance guidance on Japanese laws and regulations to equity businesses, Conduct regular compliance training for business unit professionals, Escalate significant or unresolved compliance issues, Assist in regulatory and internal investigations/audits, Assess risks to enhance internal control functions, Review and approve new products for compliance
Seniority
Vice President, strategic leadership and mentorship