Coverage Advisory : Job Level - Vice President
Core
Provide compliance guidance, policy making, and training for the equity business in Japan, ensuring adherence to relevant laws and regulations.
Role type
Vice President, Compliance Advisory (Equity)
Builds
Internal control functions and regulatory compliance frameworks for equity trading
Domain
Financial Services / Equity Sales & Trading / Regulatory Compliance
Deliverable
client delivery
Required skills
Equity business knowledge, Japanese regulatory expertise, risk assessment, internal control design, compliance training delivery, regulatory investigation handling, new product approval review
Preferred skills
Sales and trading operations experience, global program coordination, multi-tasking under tight deadlines
Technologies
N/A
Responsibilities
Provide compliance guidance on policies and Japanese laws/rules; Escalate significant or unresolved issues; Conduct regular compliance training; Handle regulatory and internal investigations/audits; Assess risks to enhance internal controls; Assist in approving new products; Communicate regulatory updates to business areas